RB
Richard J. Brock
GALLAGHER FIDUCIARY ADVISORS
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 1209197
RB
Professional summary
Richard John Brock, who also goes by Rich Brock, is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Charlotte, North Carolina and OSAIC WEALTH, INC. located in Charlotte, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich 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.
1) Business Name: Gallagher Fiduciary Advisors Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Investment Consulting Position: National Practice Leader - Executive Benefits Start Date: 04/01/2022 Hours Per Month: 20 Hours Per Day: 1 Duties: Executive Benefit consultant for not for profit organizations 2) Business Name: Gallagher Benefit Services Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Executive Benefit Consulting Position: National Practice Leader - Executive Benefits Start Date: 03/01/2015 Hours Per Month: 140 Hours Per Day: 6 Duties: executive benefit consultant for not for profits.
CRS (Client Relationship Summary) - RIA
Click below to view Richard John Brock's 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®
NoneExperience
Current
April 15, 2022 - Present
GALLAGHER FIDUCIARY ADVISORS, LLC
Office #1: 4250 Congress St., Ste. 200, Charlotte, NC 28209RIA
CRD#: 146509
Charlotte, NC
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 4250 Congress Street Ste 200, Charlotte, NC 28209RIA
BD
CRD#: 23131
Charlotte, NC
Past
March 30, 2022 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Charlotte, NC
Past
April 28, 2016 - March 31, 2022
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
CHARLOTTE,, NC
Past
January 16, 2009 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
CHARLOTTE, NC
Past
January 16, 2009 - March 31, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
CHARLOTTE, NC
Past
January 26, 2007 - December 31, 2008
TICE MCNINCH CAPITAL MANAGEMENT, INC.
RIA
CRD#: 118380
CHARLOTTE, NC
Past
November 4, 2003 - January 22, 2007
TRIAD ADVISORS LLC
RIA
CRD#: 25803
CHARLOTTE, NC
Past
November 4, 2003 - January 20, 2009
TRIAD ADVISORS LLC
BD
CRD#: 25803
CHARLOTTE, NC
Past
February 28, 2001 - April 24, 2003
CB&H INVESTOR SERVICES, LLC
BD
CRD#: 104309
CHARLOTTE, NC
Past
September 26, 2000 - November 3, 2003
CAP PRO BROKERAGE SERVICES, INC.
BD
CRD#: 103953
COLUMBUS, OH
Past
March 8, 2000 - October 30, 2003
CHERRY BEKAERT WEALTH MANAGEMENT LLC
RIA
CRD#: 108504
CHARLOTTE, NC
Past
December 12, 1996 - September 19, 2000
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
Past
October 26, 1994 - December 12, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
June 22, 1994 - May 8, 1996
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
November 19, 1990 - June 22, 1994
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
September 29, 1988 - November 26, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
May 23, 1986 - July 12, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
November 7, 1983 - April 2, 1986
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GF
GALLAGHER FIDUCIARY ADVISORS, LLC
COMPASS POINT RETIREMENT PLANNING | YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | RIVERS INVESTMENT GROUP | KUSSKE FINANCIAL MANAGEMENT | INVESTAR ASSET MANAGEMENT | INDEPENDENT FIDUCIARY SERVICES, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | GBS INVESTMENT CONSULTING, LLC | GALLAGHER INVESTMENTS | GALLAGHER FIDUCIARY ADVISORS, LLC | FLAGSTONE WEALTH MANAGEMENT | FINANCIAL CONSULTANTS OF AMERICA
CRD#: 146509 / SEC#: 801-68868
RIA
Registered Investment Advisory firm - (3/17/2008 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(8/23/2024)
RR
Alaska(8/23/2024)
RR
Arizona(8/23/2024)
RR
Arkansas(8/23/2024)
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Connecticut(8/23/2024)
RR
Delaware(8/23/2024)
RR
District of Columbia(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
RR
Hawaii(8/23/2024)
RR
Idaho(8/23/2024)
RR
Illinois(8/23/2024)
RR
Indiana(8/23/2024)
RR
Iowa(8/23/2024)
RR
Kansas(8/23/2024)
RR
Kentucky(8/23/2024)
RR
Louisiana(8/23/2024)
RR
Maine(8/23/2024)
RR
Maryland(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
Michigan(8/23/2024)
RR
Minnesota(8/23/2024)
RR
Mississippi(8/23/2024)
RR
Missouri(8/23/2024)
RR
Montana(8/23/2024)
RR
Nebraska(8/23/2024)
RR
Nevada(8/23/2024)
RR
New Hampshire(8/23/2024)
RR
New Jersey(8/23/2024)
RR
New Mexico(8/23/2024)
RR
New York(8/23/2024)
IAR
North Carolina(4/15/2022)
RR
North Carolina(8/23/2024)
RR
North Dakota(8/23/2024)
RR
Ohio(8/23/2024)
RR
Oklahoma(8/23/2024)
RR
Oregon(8/23/2024)
RR
Pennsylvania(8/23/2024)
RR
Puerto Rico(8/23/2024)
RR
Rhode Island(8/23/2024)
RR
South Carolina(8/23/2024)
RR
South Dakota(8/23/2024)
RR
Tennessee(8/23/2024)
IAR
Texas(4/18/2022)
RR
Texas(8/23/2024)
RR
Utah(8/23/2024)
RR
Vermont(8/23/2024)
RR
Virgin Islands(8/23/2024)
RR
Virginia(8/23/2024)
RR
Washington(8/23/2024)
RR
West Virginia(8/23/2024)
RR
Wisconsin(8/23/2024)
RR
Wyoming(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 12/18/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GF
GALLAGHER FIDUCIARY ADVISORS, LLC
COMPASS POINT RETIREMENT PLANNING | YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | RIVERS INVESTMENT GROUP | KUSSKE FINANCIAL MANAGEMENT | INVESTAR ASSET MANAGEMENT | INDEPENDENT FIDUCIARY SERVICES, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | GBS INVESTMENT CONSULTING, LLC | GALLAGHER INVESTMENTS | GALLAGHER FIDUCIARY ADVISORS, LLC | FLAGSTONE WEALTH MANAGEMENT | FINANCIAL CONSULTANTS OF AMERICA
CRD#: 146509 / SEC#: 801-68868
RIA
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Contact information
Main Address
2850 Golf Road, Rolling Meadows, IL 60008
Mailing Address
Phone number
(212) 330-1011
Established
Firm type
Fiscal year end
# of Employees
221
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,754 |
| AUM (Assets Under Management) | $ 180,614,282,519 |
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.
