James M Fox
Investment adviser representative at Financial & Tax Architects, LLC
10 yearsExperience
1 stateRegistered in
$506.2MFirm assets
7 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
10 years in the industry.
- Financial & Tax Architects, LLCJul 2025 to now
- LPL Enterprise, LLCNov 2024 to Jul 2025
- Pruco Securities, LLCApr 2024 to Nov 2024
- The Prudential Insurance Company of AmericaApr 2024 to Jul 2024
- Morgan StanleyMar 2023 to Apr 2024
- E*trade Capital Management LLCApr 2022 to Apr 2024
- E*trade Securities LLCApr 2022 to Apr 2024
- Fifth Third SecuritiesFeb 2021 to Apr 2022
- Fifth Third BankJan 2021 to Apr 2022
- TD AmeritradeFeb 2019 to Dec 2020
- CitibankJun 2017 to Feb 2019
- Bank of America, N.A.May 2016 to Jun 2017
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2016 to Jun 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2009
- Series 66 · Uniform Combined State Law2016
State registrations
Registered as an investment adviser representative in 1 state (IL).
Financial & Tax Architects, LLC
$506.2MAssets managed
1,574Clients
38Advisers
7 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5712817
- Firm CRD
- 119169