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Frederick Fox

54 Years of Experience
Northbrook, IL
3 DisclosuresBroker

Frederick Fox is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Northbrook, IL, with 54 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25581 advisors
Number of Clients
1,738,212 clients
Average Client Portfolio
$869K average
Assets Under Management
$1511.1B

Fee Structure

Investment management only (planning not offered)

The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.

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Location

1033 Skokie Blvd, Northbrook, IL, 60062

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2004
Settled
Customer Dispute
October 2001
Denied
Customer Dispute
August 1991
Settled
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 1998 - Present · 28 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - Present · 47 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
May 1977 - September 1978 · 1 yr 4 mos
Shearson Hayden Stone INC.Broker
November 1974 - August 1975 · 9 mos
Shearson, Hammill & CO., IncorporatedBroker
June 1970 - November 1974 · 4 yrs 5 mos
State Registrations35 states
AKAZCACOCTDCFLGAIDILINKSKYMAMDMIMNMSNCNJNMNYOHOKORPASCTNTXUTVAVirgin IslandsWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.