John G. 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.
John Gurney Brock was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 3, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2007 - December 31, 2024
BHK SECURITIES, LLC
September 6, 2006 - December 31, 2024
BHK INVESTMENT ADVISORS
September 1, 2006 - December 31, 2024
BHK SECURITIES, LLC
January 26, 2000 - August 31, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 26, 1999 - August 31, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 20, 1994 - October 29, 1999
THE ROBINSON-HUMPHREY COMPANY, LLC
July 31, 1993 - September 16, 1994
CITIGROUP GLOBAL MARKETS INC.
November 5, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
December 2, 1982 - November 13, 1991
THE ROBINSON-HUMPHREY COMPANY, LLC
September 21, 1972 - April 27, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
BHK SECURITIES, LLC
CRD#: 139665 / SEC#: 801-67198, 8-67236
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationPC
Date: 4/27/1977
AMEX Put and Call ExamSeries 1
Date: 9/18/1972
Registered Representative ExaminationCurrent Firm
BHK SECURITIES, LLC
CRD#: 139665 / SEC#: 801-67198, 8-67236
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 191 |
| AUM (Assets Under Management) | $ 133,843,583 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/31/2025 | ||
| 02/27/2024 | ||
| 02/27/2023 |
Red Flags
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