MB
Mark F. Brock
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Flint, MI 48532
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CRD#: 2329752
MB
Professional summary
Mark Forrest Brock, who also goes by Mark F Brock, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Flint, Michigan and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Flint, Michigan.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark F 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) CATHOLIC CHARITIES OF GENESEE AND SHAIAWASEE COUNTIES, 901 CHIPPEWA ST FLINT MI, 01/2016, BOARD MEMBER, NIR, 3 HR/MO 0 HR/MO TRADING 2) INDEPENDENT INSURANCE AGENT, 2337 STONE BRIDGE DR FLINT MI, 03/1993, SELLING FIXED ANNUITY PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 2 HR/YR 0/TRADING 3) WC WRIGHT & ASSOC, 2337 STONE BRIDGE DR FLINT MI, 05/2015. INV REL, FINANCIAL PROFESSIONAL UTILIZING DBA NAME. 120 HR/MO 120 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 05/2016 AS ADVISORY REP OF A RIA. INV REL, 160 HR/MO 80 HR/MO TRADING 5) ST ROBERT CATHOLIC CHURCH, 310 N CHERRY ST FLUSHING MI, BOARD MEMBER OF A NON-PUBLIC ENTITY, 12/2019, NIR, 1 HR/MO 0 HR/MO TRADING 6) ST ROBERT CATHOLIC CHURCH, 310 N CHERRY ST FLUSHING MI, 120/2019, FINANCE COMMITTEE MEMBER OF A NON-PUBLIC ENTITY, NIR, 2 HR/MO 0 HR/MO TRADING 7) EMMAJOE LLC, 2337 STONE BRIDGE DR FLINT MI, 01/2017, This was set up by my CPA and attny, for tax purposes only, NIR, 0 HR/MO 0 HR/MO TRADING 8) COMPLETE WEALTH ADVISORS, 2337 STONE BRIDGE DR FLINT MI, 01/2018, IAR, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Mark Forrest 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
May 10, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 2337 Stonebridge Dr. Bldg F, Flint, MI 48532RIA
CRD#: 134139
Flint, MI
Current
May 6, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2337 Stonebrige Drive Ste F, Flint, MI 48532BD
CRD#: 39543
Flint, MI
Past
May 25, 2012 - May 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
FLINT, MI
Past
March 29, 1993 - May 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
FLINT, MI
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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
Arizona(1/11/2023)
RR
Colorado(5/6/2016)
RR
Florida(5/6/2016)
RR
Georgia(5/16/2016)
RR
Indiana(5/6/2016)
RR
Michigan(5/6/2016)
IAR
Michigan(5/10/2016)
RR
Missouri(5/6/2016)
RR
Montana(3/9/2021)
RR
New York(6/20/2017)
RR
North Carolina(5/6/2016)
RR
Ohio(5/6/2016)
RR
Pennsylvania(5/6/2016)
RR
Texas(11/6/2017)
IAR
Texas(11/6/2017)
RR
Virginia(5/6/2016)
RR
Wyoming(5/28/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Flint, MI 48532TRUST BUT VERIFY
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