JB
Justin A. Brock
U.S. BANCORP INVESTMENTS
Willoughby, OH 44094
Some features on this profile are disabled
CRD#: 4320112
JB
Professional summary
Justin Anthony Brock, who also goes by Justin A Brock, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Willoughby, Ohio.
Justin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Justin has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Justin A Brock
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.
1)Har Adhesive And Technologies; Not Investment-Related; Bedford, OH; Industrial Adhesive Manufacturer; None; Signer On Business Accounts; 2007; 1 Hour/Month; 0 Hours/Trading; Sign Checks For Family Business When The Primary Signer Is Out Of Town Or Unavailable. 2) Saint Mary's Men's Club/HNS Treasurer; Not Investments-Related; Mentor, OH 44060; Philanthropic Fundraising; No Ownership; Treasurer; Treasurer; 07/01/2023; 01 hours/month; 01 hours/ trading; Signor on bank account at PNC Bank, issue checks for expenses, cosign with Pastor for dual signatures. Prepare monthly expense reports. 3) Eagle Ridge Home Owners Association; Not investment-related; Concord, OH; HOA; Officer; Member; 9/15/2024; 0 hours/month; 0 hours/trading; Assist the members to comply with the bylaws set forth in their purchase agreements.
CRS (Client Relationship Summary) - RIA
Click below to view Justin Anthony Brock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Justin Anthony 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®
NoneExperience
Current
July 9, 2010 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 4098 Erie St, Willoughby, OH 44094Office #2: 5154 Wilson Mills Rd, Richmond Heights, OH 44143Office #3: 14950 Springdale Ave, Middlefield, OH 44062Office #4: 9572 Mentor Ave, Mentor, OH 44060RIA
BD
CRD#: 17868
Willoughby, OH
Current
July 8, 2010 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 4098 Erie St, Willoughby, OH 44094Office #2: 5154 Wilson Mills Rd, Richmond Heights, OH 44143Office #3: 14950 Springdale Ave, Middlefield, OH 44062Office #4: 9572 Mentor Ave, Mentor, OH 44060RIA
BD
CRD#: 17868
Willoughby, OH
Past
November 13, 2009 - July 6, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
EUCLID, OH
Past
November 13, 2009 - July 6, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
EUCLID, OH
Past
February 12, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
MENTOR, OH
Past
August 19, 2003 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
MENTOR, OH
Past
February 13, 2001 - April 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/8/2010)
RR
California(10/9/2014)
RR
Colorado(8/6/2018)
RR
Connecticut(10/8/2020)
RR
Florida(11/8/2010)
RR
Georgia(9/3/2014)
RR
Idaho(11/6/2018)
RR
Illinois(3/11/2013)
RR
Kentucky(1/3/2011)
RR
Maryland(8/5/2021)
RR
Massachusetts(6/14/2013)
RR
Michigan(9/3/2014)
RR
Missouri(4/19/2013)
RR
Montana(3/10/2011)
RR
Nevada(9/3/2014)
RR
New Jersey(11/8/2010)
RR
New York(7/28/2015)
RR
North Carolina(6/23/2021)
RR
Ohio(7/8/2010)
IAR
Ohio(7/9/2010)
RR
Oregon(7/13/2020)
RR
Pennsylvania(8/28/2017)
RR
South Carolina(11/28/2018)
RR
Texas(9/30/2021)
RR
Utah(9/3/2014)
RR
Virginia(11/16/2021)
RR
Washington(3/8/2024)
RR
West Virginia(5/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
