Henry S. 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.
Henry Seth Brock, who also goes by Hank Brock, Henry S Brock, was a registered financial advisor .
Henry is a previously registered financial advisor and started their career in finance in 1981. Henry had worked at 7 firms and has passed the Series 63, Series 6, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2003 - April 1, 2003
BRECEK & YOUNG ADVISORS, INC.
December 19, 2002 - April 1, 2003
BRECEK & YOUNG ADVISORS, INC.
August 22, 2002 - October 9, 2002
AMERITAS INVESTMENT COMPANY, LLC
January 17, 1992 - February 21, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 17, 1992 - February 21, 1997
SIGNATOR INVESTORS, INC.
April 10, 1989 - January 22, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
August 1, 1986 - April 18, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 26, 1981 - April 27, 1989
G. R. PHELPS & CO., 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
Current Firm
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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