Anthony W. Brock

SIEBERT WILLIAMS SHANK & CO.

Houston, TX 77027

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CRD#: 2132044

Professional summary

Anthony Wayne Brock is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Houston, Texas.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1993. Anthony has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Wayne Brock's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 31, 2024 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 520 Post Oak Boulevard Suite 830, Houston, TX 77027

CRD#: 7556

PURCHASE, NY

Past

February 3, 1993 - September 20, 1995

M.G.S.I. SECURITIES, INC.

CRD#: 16723

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(1/31/2024)

Florida
(1/31/2024)

Georgia
(1/31/2024)

Maryland
(1/31/2024)

New York
(1/31/2024)

North Carolina
(1/31/2024)

Texas
(1/31/2024)

Washington
(1/31/2024)

Wisconsin
(1/31/2024)

Exams

State Security Law Exam

Series 63

Date: 3/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street 18th Floor, New York, NY 10005

Mailing Address

100 Wall Street 18th Floor, New York, NY 10005

Phone number

(646) 775-4850

Established

Delaware since 03/10/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SHANK WILLIAMS CISNEROS, LLC	OWNER
CALABRISOTTO, DIANNE NMN	AML OFFICER	1273900
CALABRISOTTO, DIANNE NMN	CHIEF COMPLIANCE OFFICER & COO	1273900
CHANDA, ATEESH SINGH	CHIEF LEGAL OFFICER	6973151
DIAZ, DANIEL	FINANCIAL PRINCIPAL	2214417
HALL, GARY	CO-PRESIDENT	4393662
SHANK-WERDLOW, SUZANNE FRANCES	CEO, DIRECTOR OF PARENT	1860931
THOMPSON, WILLIAM COLRIDGE JR	CHIEF ADMINISTRATIVE OFFICER	2316101
WARNER, SOBANI MULENGA	CO-PRESIDENT	1732009

Disclosures

Regulatory Event

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.

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Anthony W. Brock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Wayne Brock's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

CANTELLA & CO., INC.

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

APS FINANCIAL CORPORATION

CANTELLA & CO., INC.

MORGAN STANLEY DW INC.

M.G.S.I. SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/12/1993

SIE

Date: 10/1/2018

Series 7

Date: 5/22/1995

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIEBERT WILLIAMS SHANK & CO., LLC

TRUST BUT VERIFY

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