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Monica L. Brock

Some features on this profile are disabled
CRD#: 5699799
MB

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.

Monica Lynn Brock, who also goes by Monica Lynn Creber, was a registered financial professional .

Monica is a previously registered financial professional and started their career in finance in 2010. Monica had worked at 1 firm and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Monica Lynn Creber

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 9, 2010 - March 15, 2013

KBS CAPITAL MARKETS GROUP LLC

BD
CRD#: 132299
NEWPORT BEACH, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 2/8/2010
Financial and Operations Principal Examination

Current Firm

KC
KBS CAPITAL MARKETS GROUP LLC
KBS CAPITAL MARKETS GROUP LLC | MPARTNERS SECURITIES, LLC

CRD#: 132299 / SEC#: , 8-66581

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
800 Newport Center Drive Suite 600, Newport Beach, CA 92660
Mailing Address
800 Newport Center Drive Suite 600, Newport Beach, CA 92660
Phone number
(949) 717-6200
Established
California since 04/26/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KBS HOLDINGSOWNER
TAM, KENNYPRINCIPAL OPERATIONS OFFICER7872457
TAM, KENNYFINOP7872457
TAM, KENNYPRINCIPAL FINANCIAL OFFICER7872457
ZAPATA, MICHAEL ANTHONYCHIEF COMPLIANCE OFFICER2422544
ZAPATA, MICHAEL ANTHONYCHIEF EXECUTIVE OFFICER2422544

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.

Company Information

KBS CAPITAL MARKETS GROUP LLC

CRD#: 132299

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