Matthew B. Brock
DIVERGENT PLANNING
Bethesda, MD 20817
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CRD#: 4624406
Professional summary
Matthew Barnes Brock, CFP® is a registered financial advisor currently at DIVERGENT PLANNING located in Bethesda, Maryland.
Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Matthew has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Matt Brock,, CFP®, has spent his entire career helping people navigate the changes in their life through comprehensive financial planning. As a Lead Advisor for Divergent Planning, the CERTIFIED FINANCIAL PLANNER™ professional gets to know each client personally as well as their goals, and creates and implements the financial planning strategies to help them reach those goals. As Managing Partner, he creates the firm’s vision, implements the processes to reach that vision, and ensures the firm remains in compliance with federal and state regulations.
With a degree in math and economics, Matt has always had an analytical mind. He knew early on that he wanted to apply that mind-set to a career in financial services. He quickly realized that he could have the most impact by focusing on a client’s entire financial life. He relishes the systematic problem solving he applies in integrating the whole picture of a client’s finances in reaching their goals. And he counts starting Divergent Planning as his most satisfying career moment.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Tax Planning
Retirement Planning
Investment Planning
Employee and Employer Plan Ben...
Do you have an area of expertise or specialization?
Cash Flow/Budgets/Credit Issue...
Corporate Executives
Federal Employees
Investment Advice with Ongoing...
Retirement Planning & Distribu...
Tax Planning
What is your minimum asset requirement?
500K
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.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Barnes 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®
CFP®
Start date: 2009
Experience
Current
January 9, 2017 - Present
DIVERGENT PLANNING
Office #1: 6701 Democracy Blvd., Suite 300, Bethesda, MD 20817RIA
CRD#: 285688
Bethesda, MD
Past
May 28, 2010 - February 9, 2017
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
BETHESDA, MD
Past
May 28, 2010 - February 9, 2017
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
BETHESDA, MD
Past
April 7, 2003 - June 7, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
GAITHERSBURG, MD
Past
March 20, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 20, 2003 - June 7, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
GAITHERSBURG, MD
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".
DIVERGENT PLANNING
DIVERGENT PLANNING | DIVERGENT PLANNING, LLC
CRD#: 285688 / SEC#: 801-112962
RIA
Registered Investment Advisory firm - (4/23/2018 Approved)California
Registered Investment Advisory firm - (9/26/2018 Terminated)District of Columbia
Registered Investment Advisory firm - (8/27/2018 Terminated)Louisiana
Registered Investment Advisory firm - (8/28/2018 Terminated)Maryland
Registered Investment Advisory firm - (10/12/2018 Terminated)South Carolina
Registered Investment Advisory firm - (8/27/2018 Terminated)Texas
Registered Investment Advisory firm - (8/27/2018 Terminated)Virginia
Registered Investment Advisory firm - (8/27/2018 Terminated)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
Louisiana(6/19/2017)
IAR
Maryland(1/9/2017)
IAR
Texas(1/9/2017)
IAR
Virginia(1/9/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DIVERGENT PLANNING
DIVERGENT PLANNING | DIVERGENT PLANNING, LLC
CRD#: 285688 / SEC#: 801-112962
RIA
Registered Investment Advisory firm - (4/23/2018 Approved)California
Registered Investment Advisory firm - (9/26/2018 Terminated)District of Columbia
Registered Investment Advisory firm - (8/27/2018 Terminated)Louisiana
Registered Investment Advisory firm - (8/28/2018 Terminated)Maryland
Registered Investment Advisory firm - (10/12/2018 Terminated)South Carolina
Registered Investment Advisory firm - (8/27/2018 Terminated)Texas
Registered Investment Advisory firm - (8/27/2018 Terminated)Virginia
Registered Investment Advisory firm - (8/27/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6701 Democracy Blvd. Suite 300, Bethesda, MD 20817
Mailing Address
Phone number
(240) 428-8911
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 895 |
| AUM (Assets Under Management) | $ 323,273,148 |
Red Flags
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