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Detailed Report
AUSTIN HAVIRD FOX
AUSTIN H FOX
CRD#: 3053879
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2006200820102012201420162018202020222024IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2016 - 2021 (5 years)IACORECAP ADVISORS (CRD# 158819)2015 - 2016 (1 year)IAAXA ADVISORS, LLC (CRD# 6627)2008 - 2015 (6 years)IA1ST GLOBAL ADVISORS INC (CRD# 111133)2006 - 2008 (1 year)
Disclosure(s)
View By:
4/26/2023
Customer Dispute
Denied
2/14/2023
Customer Dispute
Settled
10/8/2021
Regulatory
Final
10/17/2005
Customer Dispute
Denied
Previous Registration(s)
th hidden textth hidden textNameLocation
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 03/03/2016 - 05/05/2021 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) MARTINEZ, GA
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 03/30/2015 - 03/29/2016 CORECAP ADVISORS (CRD#:158819) BYLTHEWOOD, SC
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 07/15/2008 - 03/04/2015 AXA ADVISORS, LLC (CRD#:6627) COLUMBIA, SC
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 08/09/2006 - 07/03/2008 1ST GLOBAL ADVISORS INC (CRD#:111133) COLUMBIA, SC
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.