Charles J. Brock Ii
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.
Charles Joseph Brock Ii II, who also goes by Charles Joseph Brock II, Charles Joseph Ii Brock, Charles Joseph Brock Ii, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 31, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2014 - May 8, 2020
GRACE CAPITAL MANAGEMENT, LLC
May 31, 2012 - May 20, 2015
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
September 14, 2011 - November 21, 2011
PRUCO SECURITIES, LLC.
April 2, 2007 - January 2, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - January 2, 2009
MORGAN STANLEY & CO. LLC
November 30, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
November 30, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
October 12, 1998 - December 5, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 1993 - September 11, 1998
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRACE CAPITAL MANAGEMENT, LLC
CRD#: 169813 / SEC#:
Contact information
Red Flags
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