Gordon U. Brock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gordon Ulric Brock JR, who also goes by Ulrick Gordon Brock Jr, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1982. Gordon had worked at 13 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2001 - September 24, 2001
FIRST COLONIAL SECURITIES
January 11, 2000 - March 16, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
July 26, 1996 - December 8, 1999
FIRST SECURITY INVESTMENTS, INC.
December 21, 1993 - June 28, 1996
ROYAL PALM INVESTMENTS, LTD.
September 13, 1990 - November 12, 1993
R.B. WEBSTER INVESTMENTS, INC.
April 5, 1990 - September 5, 1990
JOSEPHTHAL & CO., INC.
January 29, 1990 - March 17, 1990
B C FINANCIAL CORPORATION
June 13, 1989 - December 22, 1989
FIRST ALLIANCE SECURITIES, INC.
June 23, 1987 - April 27, 1989
PROFILE INVESTMENTS CORPORATION
September 3, 1985 - June 10, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
June 19, 1985 - August 22, 1985
JEROLD SECURITIES & CO., INC.
January 3, 1984 - June 12, 1985
CITIWIDE SECURITIES CORP.
October 20, 1982 - December 8, 1983
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST COLONIAL SECURITIES
CRD#: 25121 / SEC#: , 8-41587
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLONIAL DIRECT FINANCIAL GROUP, INC. | HOLDING CORPORATION | |
| AXELROD, IRWIN | SENIOR AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 9180 |
| CAMPANELLA, RICHARD ANTHONY | COO AND BOCA RATON BRANCH MANAGER | |
| GALTERIO, RICHARD LOUIS | BRANCH MANAGER-NEW YORK | 1466226 |
| MARTIN, JEFFREY STEVEN | MUNICIPAL PRINCIPAL | 321321 |
| MIRMAN, ALVIN SAUL | DIRECTOR OF RESEARCH | |
| MIRMAN, ALVIN SAUL | FINANCIAL AND OPERATIONS PRINCIPAL | |
| MOSS, MICHAEL EARL | DIRECTOR | 601445 |
| SIEGEL, MARC NEIL | PRESIDENT & CEO | 1449845 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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