James Fox has been an investment adviser representative at Financial & Tax Architects since August 2025, and is not listed among the firm’s executive officers or direct owners.
Financial & Tax Architects, LLC is a St. Louis, MO firm with $506M under management, 1,574 clients and 40 advisers across 22 offices, as of its June 2026 filing.
James Fox’s longest registration was 1 year at TD Ameritrade, Inc. (2019–2021). Before joining Financial & Tax Architects in 2025, James Fox was registered through LPL Enterprise, LLC and Prudential Financial Planning Services.
- – present · 1 yearChicago, IL · Adviser representative · Firm CRD 119169
- LPL Enterprise, LLC– · under a yearDowners Grove, IL · Adviser representative · Firm CRD 8733
- Prudential Financial Planning Services– · under a yearDowners Grove, IL · Adviser representative · Firm CRD 5685
- Morgan Stanley– · under a yearChicago, IL · Adviser representative · Firm CRD 149777
- E*trade Capital Management, LLC– · 1 yearChicago, IL · Adviser representative · Firm CRD 42159
- Fifth Third Securities, Inc.– · 1 yearWheaton, IL · Adviser representative · Firm CRD 628
- TD Ameritrade, Inc.– · 1 yearSchaumburg, IL · Adviser representative · Firm CRD 7870
- TD Ameritrade Investment Management, LLC– · 1 yearSchaumburg, IL · Adviser representative · Firm CRD 111514
- Citigroup Global Markets Inc.– · 1 yearElk Grove Village, IL · Adviser representative · Firm CRD 7059
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 1 yearSchaumburg, IL · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
James Fox is registered as an investment adviser representative in Illinois, since August 2025.
- IllinoisSince 14 August 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 17 June 2016 |
| Series 7 | General Securities Representative Examination | 15 April 2014 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 October 2009 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 30 September 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James M Fox
- CRD
- 5712817
- Firm
- Financial & Tax Architects · CRD 119169
- Office
- 1415 West 22nd Street, Regency Towers, Chicago, IL 60523
- Registration
- Investment adviser registration
- In the industry since
- March 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does James Fox work?
James Fox is an investment adviser representative registered through Financial & Tax Architects, LLC since August 2025, and is not listed among the firm’s executive officers or direct owners.
Is James Fox a financial advisor?
Yes. James Fox has a current investment-adviser registration in Illinois, through Financial & Tax Architects since August 2025.
How many years of experience does James Fox have?
James Fox has 16 years in the financial industry, since March 2010, across 10 adviser firms.
What exams has James Fox passed?
James Fox has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 66. The earliest, the Series 6, was passed in September 2009. FINRA credited James Fox with the SIE, which began in October 2018.
Where did James Fox work before Financial & Tax Architects?
Before Financial & Tax Architects, James Fox was registered through LPL Enterprise, LLC, November 2024 to July 2025; Prudential Financial Planning Services, April 2024 to November 2024; Morgan Stanley, September 2023 to April 2024; E*trade Capital Management, LLC, June 2022 to September 2023; Fifth Third Securities, Inc., February 2021 to May 2022; TD Ameritrade, Inc., February 2019 to January 2021; TD Ameritrade Investment Management, LLC, February 2019 to December 2020; Citigroup Global Markets Inc., June 2017 to February 2019; Merrill Lynch, Pierce, Fenner & Smith Incorporated, June 2016 to June 2017.
Where is James Fox based?
James Fox’s registered office is in Chicago, IL.
Is James Fox registered with FINRA?
No. James Fox has no current broker registration.
How can I verify James Fox’s record?
Search CRD 5712817 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Fox’s full registration record.
David BrooksChief Executive Officer
Gordon HaavePresident and Chief Investment Officer- Paul FelschChief Compliance Officer & Legal Counsel