Perry D. Shock
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.
Perry Degrays Shock JR, who also goes by Perry D Shock Jr, was a registered financial professional .
Perry is a previously registered financial professional and started their career in finance in 1977. Perry had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 52 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2012 - December 31, 2017
WORLD CAPITAL BROKERAGE, INC.
July 14, 1992 - June 1, 2011
LPL FINANCIAL LLC
June 9, 1992 - September 26, 2012
LPL FINANCIAL LLC
August 4, 1989 - June 17, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 1987 - August 14, 1989
THOMSON MCKINNON SECURITIES INC.
November 22, 1982 - January 15, 1987
LEHMAN BROTHERS INC.
August 25, 1977 - November 15, 1982
SWINK & COMPANY, INC.
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 8
Date: 4/20/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
