David P. 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.
David Paul Brock was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 17 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2017 - August 15, 2023
KIAROS ADVISORS, LLC
September 28, 2012 - December 21, 2012
WINDSOR STREET CAPITAL, LP
February 14, 2012 - December 20, 2016
KIAROS ADVISORS, LLC
February 16, 2011 - September 16, 2011
CIC ADVISERS, LLC
January 11, 2011 - September 16, 2011
CAPITAL INVESTMENT GROUP, INC.
March 19, 2009 - December 23, 2010
LIFEMARK SECURITIES CORP.
March 19, 2009 - December 23, 2010
LIFEMARK SECURITIES CORP.
November 16, 2005 - March 16, 2009
KESTRA INVESTMENT SERVICES, LLC
November 16, 2005 - March 16, 2009
KESTRA INVESTMENT SERVICES, LLC
August 5, 2004 - September 16, 2005
OGILVIE SECURITY ADVISORS CORPORATION
June 8, 2004 - September 16, 2005
OGILVIE SECURITY ADVISORS CORPORATION
January 7, 2004 - April 29, 2004
CHESAPEAKE INVESTMENT ADVISORY CORPORATION
January 8, 2003 - January 8, 2004
ONEAMERICA SECURITIES, INC.
January 1, 2002 - January 10, 2003
EAGLE STRATEGIES LLC
October 19, 2001 - January 10, 2003
NYLIFE SECURITIES LLC
December 22, 1998 - October 10, 2001
NEW ENGLAND SECURITIES
March 17, 1998 - December 7, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 17, 1998 - December 7, 1998
OSAIC FA, INC.
July 24, 1997 - March 27, 1998
MONY SECURITIES CORPORATION
February 13, 1991 - July 28, 1997
HORNOR, TOWNSEND & KENT, LLC
December 21, 1989 - February 25, 1991
AVANTAX INVESTMENT SERVICES, 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
KIAROS ADVISORS, LLC
CRD#: 159955 / SEC#: 801-80467
Contact information
Regulatory assets under management
| Total Number of Accounts | 246 |
| AUM (Assets Under Management) | $ 23,774,632 |
Red Flags
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