Charles Fox has been Chief Executive Officer of Lombard Advisers since January 2007, is a control person of the firm and directly owns under 5% of it.
Lombard Advisers Incorporated is a Baltimore, MD firm with $670M under management, 985 clients and 30 advisers across 24 offices, as of its March 2026 filing.
No adviser firm registrations are on Charles Fox’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 3 December 2002 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 14 September 1987 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 December 1983 |
| Series 7 | General Securities Representative Examination | 19 November 1983 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Charles Curtis Fox
- CRD
- 1201770
- Firm
- Lombard Advisers · CRD 108231
- Role
- Chief Executive Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Charles Fox work?
Charles Fox has been Chief Executive Officer of Lombard Advisers Incorporated since January 2007, and is a control person of the firm.
Does Charles Fox have a current investment-adviser registration?
Charles Fox has a current broker registration and no current investment-adviser registration.
What exams has Charles Fox passed?
Charles Fox has passed 7 licensing exams: the Series 7, Series 63, Series 8, Series 24, Series 10, Series 14 and Series 9. The earliest, the Series 7, was passed in November 1983. FINRA credited Charles Fox with the SIE, which began in October 2018.
Is Charles Fox registered with FINRA?
Yes. Charles Fox has a current broker registration, under CRD 1201770.
Source: FINRA BrokerCheck
How can I verify Charles Fox’s record?
Search CRD 1201770 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Charles Fox’s full registration record.