Wendell Walter Brock
Professional Summary
Wendell Walter Brock, who also goes by Bub Brock, is a registered financial advisor currently at YIELD FINANCIAL ADVISORS located in Mckinney, Texas. Wendell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Wendell has worked at 7 firms and has passed the Series 63, Series 7, Series 6, Series 22 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bub Brock
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
CREED, INC - THE CENTER OF RESOURCES FOR ECONOMIC EDUCATION AND DEVELOPMENT | YIELD TAX ADVISORS, LLC | YIELD INSURANCE SERVICES LLC | YIELD FINANCIAL ADVISORS, INC. | YIELD FINANCIAL ADVISORS | OUTSIDE INVESTMENT ADVISORS | NAUVOO MINT | KNABEHT, INC. | DE NOVO STRATEGY, INC. | DE NOVO EQUITY, INC. | DE NOVO EQUITY INC
Contact Information
Main Address
6633 Eldorado Pkwy 430, Mckinney, TX 75070Phone Number
(214) 937-9905# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
56AUM (Assets Under Management)
$22,300,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/25/2024)
(4/2/2012)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1990About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Oct 1990About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Wendell Walter Brock's CRS (Customer Relationship Summary).
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