Brock M. Loftis
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.
Brock Michael Loftis SR, who also goes by Brock Michael Loftis, was a registered financial professional .
Brock is a previously registered financial professional and started their career in finance in 1986. Brock had worked at 11 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
May 17, 2013 - May 30, 2014
R.M. DUNCAN SECURITIES, INC.
March 4, 2010 - May 16, 2013
ST. BERNARD FINANCIAL SERVICES, INC.
June 7, 2000 - July 24, 2008
BOK FINANCIAL SECURITIES, INC.
August 19, 1998 - October 5, 1999
COLLEGE & UNIVERSITY SECURITIES CORPORATION
August 11, 1993 - June 7, 2000
ICBA SECURITIES
July 1, 1993 - June 7, 2000
VINING-SPARKS IBG, LLC
January 22, 1993 - June 25, 1993
FIRST AMERICAN SECURITIES, INC.
December 23, 1992 - June 25, 1993
FIRST AMERICAN SECURITIES, INC.
May 21, 1992 - December 23, 1992
POWELL & SATTERFIELD, INC.
July 31, 1991 - May 19, 1992
PRUDENTIAL EQUITY GROUP, LLC
February 10, 1990 - July 29, 1991
FIRST AMERICAN SECURITIES, INC.
April 5, 1989 - January 1, 1990
SWINK & COMPANY, INC.
February 7, 1986 - April 17, 1989
L.A. BOYKIN & ASSOCIATES, 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
R.M. DUNCAN SECURITIES, INC.
CRD#: 14344 / SEC#: , 8-30534
Contact information
FINRA licenses (19 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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