Paul D. Bock
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.
Paul David Bock was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1996. Paul had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2005 - December 31, 2013
MERRIMAC CORPORATE SECURITIES, INC.
February 27, 2004 - November 3, 2004
MERRIMAC CORPORATE SECURITIES, INC.
October 22, 2003 - November 5, 2004
ALLEN DOUGLAS SECURITIES, INC.
June 28, 2002 - September 8, 2003
ALLSTATE FINANCIAL SERVICES, LLC
July 29, 1999 - July 5, 2002
IDS LIFE INSURANCE COMPANY
July 29, 1999 - July 5, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
July 9, 1999 - July 5, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
January 27, 1998 - October 13, 1998
PRINCIPAL SECURITIES, INC.
October 25, 1996 - October 23, 1997
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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
MERRIMAC CORPORATE SECURITIES, INC.
CRD#: 35463 / SEC#: , 8-46721
Contact information
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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