Paul K. Brock
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.
Paul Kruesi Brock JR., who also goes by Paul Kruesi Brock, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2009. Paul had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2010 - August 1, 2023
GARTH & BROWN INVESTMENT MANAGEMENT, LLC
October 28, 2009 - August 1, 2023
BROWN ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
GARTH & BROWN INVESTMENT MANAGEMENT, LLC
CRD#: 151128 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 14,248,429 |
Red Flags
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