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WB

William J. Brock

FOUR POINTS CAPITAL PARTNERS LLC
Buffalo, NY
Some features on this profile are disabled
CRD#: 1027573
WB

Professional summary

William Justus Brock, who also goes by Bill Brock, is a registered financial professional currently at FOUR POINTS CAPITAL PARTNERS LLC located in Buffalo, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1986. William has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Brock

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Justus Brock's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 30, 2017 - Present

FOUR POINTS CAPITAL PARTNERS LLC

BD
CRD#: 43149
Buffalo, NY
Past

December 14, 2015 - May 31, 2017

SGMA CAPITAL MARKETS LIMITED

BD
CRD#: 135327
NEW YORK, NY
Past

August 6, 2013 - July 15, 2015

FREDERICKS MICHAEL SECURITIES, INC.

BD
CRD#: 46725
NEW YORK, NY
Past

March 23, 2011 - April 16, 2012

CROSS POINT CAPITAL LLC

BD
CRD#: 136223
NEW YORK, NY
Past

November 16, 2010 - March 25, 2011

SGMA CAPITAL MARKETS LIMITED

BD
CRD#: 135327
NEW YORK, NY
Past

July 1, 2004 - October 3, 2007

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 14, 2003 - April 30, 2004

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
LOS ANGELES, CA
Past

September 1, 1998 - May 21, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 17, 1996 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

April 12, 1994 - October 28, 1994

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 25, 1991 - April 21, 1994

GOLDMAN SACHS MONEY MARKETS, L.P.

BD
CRD#: 28613
Past

May 26, 1989 - October 25, 1991

GOLDMAN SACHS MONEY MARKETS INC.

BD
CRD#: 13821
Past

May 20, 1986 - February 13, 1987

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(6/6/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 7/21/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FP
FOUR POINTS CAPITAL PARTNERS LLC
AURORA FINANCIAL SERVICES, L.L.C. | HAYDEN & ASSOCIATES | FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149 / SEC#: , 8-50162

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Mailing Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Phone number
(212) 257-5240
Established
Texas since 07/23/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
5M HOLDINGS LLCMANAGING MEMBER
GRAY, JOHN CLARKECHIEF FINANCIAL OPERATIONS OFFICER / CFO1367440
MARTINO, MICHAEL CHRISTOPHERCHIEF EXECUTIVE OFFICER2579146
MURPHY, GENE RYANCHIEF OPERATIONS OFFICER4739772
TOOKE, JEFFREY ACHIEF COMPLIANCE OFFICER, AMLCO5621579

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149Buffalo, NY

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