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Leonard V Fox

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Information

Other Names: Leonard V Fox Jr, Leonard V Fox Jr Jr, Leonard V Fox Jr. Jr ...(see more)
Firm:
Type: Dual Registration
Description

Leonard Fox is a financial professional at FSC Securities Corporation, a broker-dealer with over 1,450 registered representatives nationwide. Leonard has held an industry securities registration for 11 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
FSC Securities Corporation 1 year, 6 months Apr 2013 - Present
Morgan Stanley Smith Barney 3 years, 7 months Jun 2009 - Jan 2013
Morgan Stanley & Co., Incorporated 5 years, 9 months Apr 2007 - Jan 2013
Morgan Stanley Dw Inc 6 years, 1 month Mar 2001 - Apr 2007
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 10/08/2002
Uniform Securities Agent State Law ExaminationSeries 63 05/13/1982

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Leonard V Fox has not answered any questions on Financial Q&A.

Top Guides

Leonard V Fox has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

3 Customer Disputes

1 Regulatory Event

3 Customer Disputes

1 Regulatory Event

As of Date
10/03/2014
09/22/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions