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CB

Charles L. Brock

BROCK SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 5758862
CB

Professional summary

Charles Lawrence Brock, who also goes by Charles Brock, is a registered financial professional currently at BROCK SECURITIES LLC located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2015. Charles has worked at 1 firm and has passed the Series 63, SIE, Series 62 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Brock

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) - BD

Click below to view Charles Lawrence 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

May 21, 2015 - Present

BROCK SECURITIES LLC

Office #1: 505 Park Ave 14th Floor, New York, NY 10022Office #2: 505 Park Ave 14th Floor, New York, NY 10022
BD
CRD#: 122156
New York, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(8/15/2018)
RR
New York
(10/29/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 1/5/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 5/21/2015
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/5/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROCK SECURITIES LLC
BROCK FINANCIAL SERVICES LLC | BROCK SECURITIES LLC

CRD#: 122156 / SEC#: , 8-65467

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
505 Park Ave 14th Floor, New York, NY 10022
Mailing Address
505 Park Ave 14th Floor, New York, NY 10022
Phone number
(212) 209-3000
Established
Delaware since 07/12/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROCK CAPITAL GROUP LLCMANAGING MEMBER
BROCK, CHARLES LAWRENCECHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER5758862
HOPKINS, THOMAS JOHNFINOP1835087

Disclosures

Regulatory Event1

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

BROCK SECURITIES LLC

CRD#: 122156New York, NY 10022

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