Michael Gregory Fox

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

Authority	Category	Status	Date
RI	RA	APPROVED	2003-02-14

RI RA
APPROVED

Since 2003-02-14

Branch Locations

Providence, RI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Commonwealth Equity Services, Inc.	Providence	RI	01/1995	Present

01/1995 → Present

Commonwealth Equity Services, Inc.

Providence, RI

Other Businesses

1.SELLING FIXED INSURANCE, CONDUCTED AT BRANCH, INVESTMENT RELATED. 2. LICENSED VENDOR FOR TASC, THIRD PARTY ADMINISTRATOR OF EMPLOYEE BENEFIT PLANS, CONDUCTED AT BRANCH, NON-INVESTMENT RELATED. 3. TRUSTEE FOR COMPANY RETIREMENT PLAN; INVESTMENT RELATED; CONDUCTED AT BRANCH LOCATION.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-11-13
S63	Uniform Securities Agent State Law Examination	1980-12-09

S65 Uniform Investment Adviser Law Examination

1995-11-13
S63 Uniform Securities Agent State Law Examination

1980-12-09

Designations

Chartered Financial Consultant

View on SEC IAPD