Amelia K. Brock
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.
Amelia Karen Brock, who also goes by Karen Brock, Karen Hart, Karen B Snow, Karen Brock Snow, Karen B. Snow-emswiller, Karen Brock Snow-emswiller, Karen Wickenkamp, was a registered financial professional .
Amelia is a previously registered financial professional and started their career in finance in 1995. Amelia had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2011 - September 2, 2015
VANGUARD MARKETING CORPORATION
January 23, 2006 - May 11, 2006
ZIONS CAPITAL ADVISORS, INC.
June 9, 2005 - May 11, 2006
ZIONS DIRECT, INC.
May 26, 2005 - May 11, 2006
ZIONS DIRECT, INC.
November 24, 2004 - May 27, 2005
ZIONS CAPITAL ADVISORS, INC.
March 9, 2004 - September 24, 2004
CHARLES SCHWAB & CO., INC.
October 26, 1998 - April 5, 2002
FIDELITY BROKERAGE SERVICES LLC
September 6, 1995 - October 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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