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BS

Brock Shelgren

INVESCO CAPITAL MARKETS
Downers Grove, IL 60515
Some features on this profile are disabled
CRD#: 7432727
BS

Professional summary

Brock Shelgren is a registered financial professional currently at INVESCO CAPITAL MARKETS, INC. located in Downers Grove, Illinois.

Brock is registered as a RR (Registered Representative) and started their career in finance in 2021. Brock has worked at 1 firm and has passed the Series 57TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Brock Shelgren'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

December 6, 2021 - Present

INVESCO CAPITAL MARKETS, INC.

Office #1: 3500 Lacey Road Suite 700, Downers Grove, IL 60515
BD
CRD#: 6939
Downers Grove, IL

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

General Industry/Product Exam
RR
Series 57TO
Date: 12/4/2021
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 11/6/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/11/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC

Current Firm

IC
INVESCO CAPITAL MARKETS, INC.
INVESCO CAPITAL MARKETS, INC. | ZEDD SECURITIES | VAN KAMPEN/AMERICAN CAPITAL DISTRIBUTORS, INC. | VAN KAMPEN MERRITT INC. | VAN KAMPEN FUNDS INC. | VAN KAMPEN FILKIN & MERRITT INC. | VAN KAMPEN AMERICAN CAPITAL DISTRIBUTORS, INC.

CRD#: 6939 / SEC#: , 8-19412

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

Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(713) 214-1919
Established
Delaware since 11/01/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INVESCO ADVISERS, INC.OWNER
GEYER, WILLIAM SENGDIRECTOR AND CO-PRESIDENT2250035
GREGSON, MARK WILLIAMCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP2630230
HANCOCK, TRISHA BELLCHIEF COMPLIANCE OFFICER4373744
HARTIGAN, BRIAN CHRISTOPHERDIRECTOR AND CO-PRESIDENT4227272
SAUERBORN, THOMAS JPRINCIPAL OPERATIONS OFFICER1554859
WISDOM, CRISSIE MCMENNAMYANTI-MONEY LAUNDERING COMPLIANCE OFFICER2793857

Disclosures

Regulatory Event6

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

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939Downers Grove, IL 60515

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