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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

RICHARD THOMAS FOX

Advisor at CETERA INVESTMENT ADVISERS LLC

WOOSTER, OH

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Search this name across graphsid dfx:ria:e186d505-72fd-e826-e21f-9aa3bad93813

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 24, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 16, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 16, 1995
First registration: Jun 24, 2003
Dual registered: yes, broker-dealer
Other names: RICK FOX|RICHARD T FOX
IAPD individual key: 2573549

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 2, 2015	n/a	yes	WOOSTER, OH	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 18, 2013	Aug 25, 2015	no	LOUDONVILLE, OH\|WOOSTER, OH\|ORRVILLE, OH\|WOOSTER, OH\|WOOSTER, OH\|WOOSTER, OH\|AKRON, OH\|BERLIN, OH\|ASHLAND, OH\|ASHLAND, OH\|WILLARD, OH	Previous registration
FIRSTMERIT ADVISORS, INC.	n/a	Jan 20, 2010	Sep 18, 2013	no	WOOSTER, OH\|AKRON, OH	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Jul 7, 2005	Jan 22, 2010	no	WOOSTER, OH\|ORROVILLE, OH\|WOOSTER, OH\|WOOSTER, OH\|BERLIN, OH\|APPLETON, WI\|LOUISVILLE, OH\|WOOSTER, OH	Previous registration
FIRSTMERIT ADVISORS, INC.	n/a	Jun 24, 2003	Dec 20, 2005	no	AKRON, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	CETERA INVESTMENT ADVISERS LLC	Aug 25, 2015	Sep 2, 2015	8	Firm change	Other
FIRSTMERIT ADVISORS, INC.	LPL FINANCIAL LLC	Sep 18, 2013	Sep 18, 2013	0	Bulk transfer	Other
INVEST FINANCIAL CORPORATION	FIRSTMERIT ADVISORS, INC.	Jan 22, 2010	Jan 20, 2010	-2	Firm change	Other
FIRSTMERIT ADVISORS, INC.	INVEST FINANCIAL CORPORATION	Dec 20, 2005	Jul 7, 2005	-166	Firm change after gap	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 2, 2015 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 18, 2013 to Aug 25, 2015factForm ADV
→ FIRSTMERIT ADVISORS, INC.Registered adviserregistration: previous registration
Jan 20, 2010 to Sep 18, 2013factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Jul 7, 2005 to Jan 22, 2010factForm ADV

Dated events

No dated event names this entity yet.