Teresa J. Brock
Professional summary
Teresa Janette Brock, who also goes by T. Janette Brock, Teresa Janette Brock, Janette Brock, Teresa Janette Gaber, Teresa Janette King, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Salem, Oregon.
Teresa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Teresa has worked at 20 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Teresa Janette Brock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Teresa Janette Brock's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 25, 2025 - Present
VOYA FINANCIAL ADVISORS, INC.
September 17, 2025 - Present
VOYA FINANCIAL ADVISORS, INC.
September 26, 2025 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: One Orange Way, Windsor, CT 06095September 26, 2025 - Present
VOYA FINANCIAL PARTNERS, LLC
April 15, 2025 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
April 15, 2025 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
April 15, 2025 - August 1, 2025
CADARET, GRANT & CO., INC.
February 25, 2020 - July 9, 2024
SORRENTO PACIFIC FINANCIAL, LLC
February 25, 2020 - July 9, 2024
SORRENTO PACIFIC FINANCIAL, LLC
August 13, 2019 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
August 12, 2019 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
May 11, 2017 - January 11, 2019
EQUITABLE ADVISORS, LLC
April 3, 2017 - January 11, 2019
EQUITABLE ADVISORS, LLC
April 7, 2016 - March 22, 2017
BENJAMIN & JEROLD BROKERAGE I, LLC
January 4, 2013 - October 1, 2014
BMA SECURITIES, LLC
August 2, 2012 - December 14, 2012
SPENCER EDWARDS, INC.
March 2, 2011 - August 1, 2012
BMA SECURITIES, LLC
February 18, 2010 - March 7, 2011
SCOTTSDALE CAPITAL ADVISORS CORP
February 10, 2010 - March 7, 2011
SCOTTSDALE CAPITAL ADVISORS CORP
June 3, 2008 - February 26, 2009
LEDGEMONT CAPITAL MARKETS LLC
January 24, 2007 - August 30, 2007
NEXCORE FINANCIAL SERVICES, INCORPORATED
January 24, 2007 - August 30, 2007
NEXCORE CAPITAL, INC.
July 18, 2005 - May 4, 2006
ATLAS SECURITIES, LLC
June 20, 1997 - August 10, 2005
DEAN INVESTMENTS
June 16, 1997 - July 14, 2005
2480 SECURITIES LLC
April 22, 1993 - July 15, 1997
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/17/2025)
(9/25/2025)
Exams
Series 52TO
Date: 4/15/2025
Municipal Securities Representative ExaminationFINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
