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Detailed Report
Benjamin Thomas Fox
CRD#: 6939515
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 12312 OLIVE BOULEVARD
SUITE 300
ST LOUIS, MO 63141-6474
Registration History
JulOct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2022 - 2024 (2 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
California 11/14/2024
IA
Missouri 11/14/2024
B
Illinois 11/14/2024
B
Wisconsin 11/14/2024
B
Missouri 11/14/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
12312 OLIVE BOULEVARD SUITE 300, ST LOUIS, MO 63141-6474
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
12312 OLIVE BOULEVARD SUITE 300, ST LOUIS, MO 63141-6474
Registered with this firm since 11/14/2024
Previous Registration(s)
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IA
 06/14/2022 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) St. Louis, MO
B
 06/14/2022 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) St. Louis, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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.