James M Fox

Investment Adviser Representative at FINANCIAL & TAX ARCHITECTS, LLC

Chicago, ILCRD #5712817Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

16 yrs

States Registered

1 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 1 states

Illinois

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 6/17/2016

Series 63

Uniform Securities Agent State Law Examination

Passed 10/8/2009

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 4/15/2014

Series 6

Investment Company Products/Variable Contracts Representative Examination

Passed 9/30/2009

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Asset tier	Annual rate
First $2,000,000	1.95%
Next $3,000,000	0.90%
Next $5,000,000	0.50%
Next $5,000,000 and on	0.30%

Source

FINANCIAL & TAX Architects, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

E*TRADE SECURITIES LLC

6/22/2022 – 9/5/2023CHICAGO, IL

CITIGROUP GLOBAL MARKETS INC.

6/12/2017 – 2/21/2019ELK GROVE VILLAGE, IL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

5/20/2016 – 6/27/2017SCHAUMBURG, IL

PRUCO SECURITIES, LLC.

4/30/2024 – 11/14/2024DOWNERS GROVE, IL

BMO HARRIS FINANCIAL ADVISORS, INC.

3/5/2015 – 5/23/2016SKOKIE, IL

MORGAN STANLEY

3/16/2023 – 4/18/2024Chicago, IL

FIFTH THIRD SECURITIES, INC.

2/22/2021 – 5/2/2022WHEATON, IL

TD AMERITRADE, INC.

2/13/2019 – 1/11/2021SCHAUMBURG, IL

LPL ENTERPRISE, LLC

11/14/2024 – 7/11/2025DOWNERS GROVE, IL

J.P. MORGAN SECURITIES LLC

10/1/2012 – 1/23/2015CHICAGO, IL

CHASE INVESTMENT SERVICES CORP.

10/1/2009 – 10/1/2012GLENVIEW, IL

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James M Fox has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.