Stephen M. Brock

MEDICAL FUNDING PROFESSIONALS

Lake Tahoe, NV 89449-4470

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CRD#: 3158274

Professional summary

Stephen Martin Brock is a registered financial advisor currently at MEDICAL FUNDING PROFESSIONALS located in Lake Tahoe, Nevada.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Stephen has worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Martin Brock's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 17, 2021 - Present

MEDICAL FUNDING PROFESSIONALS

Office #1: 297 Kingsbury Grade Suite 203, Lake Tahoe, NV 89449-4470

RIA

CRD#: 311323

Lake Tahoe, NV

Past

December 23, 2009 - October 14, 2011

PUBLIC COMPANY MANAGEMENT CORPORATION

RIA

CRD#: 152484

LAS VEGAS, NV

Past

November 23, 2005 - August 7, 2006

M&A CAPITAL ADVISERS, LLC

CRD#: 129498

LAS VEGAS, NV

Past

February 25, 2004 - September 28, 2005

M&A CAPITAL ADVISERS, LLC

CRD#: 129498

LAS VEGAS, NV

Past

August 11, 2003 - August 21, 2003

NEVWEST SECURITIES CORPORATION

CRD#: 46464

LAS VEGAS, NV

Past

May 4, 2001 - December 31, 2007

GOPUBLICTODAY.COM, INC

RIA

CRD#: 112514

LAS VEGAS, NV

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nevada
(3/17/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/12/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/16/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 8/8/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/7/2004

General Securities Principal Examination

Current Firm

MEDICAL FUNDING PROFESSIONALS

MEDICAL FUNDING PROFESSIONALS | MEDICAL FUNDING PROFESSIONALS LLC

CRD#: 311323 / SEC#:

Nevada

Registered Investment Advisory firm - (3/10/2021 Approved)

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Contact information

Main Address

297 Kingsbury Grade Suite 203, Lake Tahoe, NV 89449-4470

Mailing Address

Phone number

(775) 386-6205

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Stephen M. Brock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Martin Brock's CRS (Customer Relationship Summary).

Certified licenses

Experience

MEDICAL FUNDING PROFESSIONALS

PUBLIC COMPANY MANAGEMENT CORPORATION

M&A CAPITAL ADVISERS, LLC

M&A CAPITAL ADVISERS, LLC

NEVWEST SECURITIES CORPORATION

GOPUBLICTODAY.COM, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/12/2003

Series 65

Date: 3/16/2001

Series 7

Date: 8/8/2003

Series 24

Date: 1/7/2004

Current Firm

MEDICAL FUNDING PROFESSIONALS

Contact information

Documents

Red Flags

Company Information

MEDICAL FUNDING PROFESSIONALS

TRUST BUT VERIFY

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