David J. Brock

THE BROCK GROUP

PLYMOUTH, MI 48170

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CRD#: 4324997

Professional summary

David James Brock is a registered financial advisor currently at THE BROCK GROUP, LLC located in Plymouth, Michigan.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 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.

AGENT INDEPENDENT INSURANCE AGENT PLYMOUTH, MI START DATE 1/1/03 DEVOTES 40% OF TIME HOURS PER MONTH/100+ EVER SINCE I ENTERED THE BUSINESS I HAVE SOLD FIXED PRODUCTS (INSURANCE & ANNUITIES) FROM VARIOUS INSURANCE COMANIES. I CONTINUE TO SELL FIXED PRODUCTS WITH VARIOUS INSURANCE COMPANIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David James 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

August 25, 2010 - Present

THE BROCK GROUP, LLC

Office #1: 110 W Liberty St., Plymouth, MI 48170

RIA

CRD#: 142432

PLYMOUTH, MI

Past

February 3, 2003 - December 31, 2005

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

June 1, 2001 - January 30, 2003

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

Michigan
(8/25/2010)

IAR

Texas
(2/27/2025)

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

IAR

Series 65

Date: 8/14/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/2/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/31/2001

General Securities Representative Examination

Current Firm

THE BROCK GROUP, LLC

THE BROCK GROUP | THE BROCK GROUP, LLC

CRD#: 142432 / SEC#:

Michigan

Registered Investment Advisory firm - (3/15/2007 Approved)

Texas

Registered Investment Advisory firm - (2/27/2025 Conditional Restricted)

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Contact information

Main Address

110 W Liberty St., Plymouth, MI 48170

Mailing Address

Phone number

(734) 744-8008

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	464
AUM (Assets Under Management)	$ 86,990,000

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.

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Firm Stability Insights

David J. Brock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David James Brock's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE BROCK GROUP, LLC

CINCINNATI ANALYSTS, INC.

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/14/2010

Series 66

Date: 2/2/2002

Series 7

Date: 5/31/2001

Current Firm

THE BROCK GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE BROCK GROUP, LLC

TRUST BUT VERIFY

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