Thomas H. Bock
Professional summary
Thomas Herbert Bock was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas Herbert Bock, who also goes by Tom Bock, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1975. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - March 5, 2020
BOCK EVANS FINANCIAL COUNSEL, LTD.
September 13, 1994 - September 1, 2015
MUTUAL SECURITIES, INC.
May 2, 1991 - September 19, 1994
SECURITIES AMERICA, INC.
December 13, 1978 - May 28, 1991
WORLD CAPITAL BROKERAGE, INC.
August 10, 1977 - January 4, 1979
HANIFEN, IMHOFF INC.
March 20, 1975 - August 27, 1977
BOSWORTH SULLIVAN & COMPANY INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 40
Date: 6/23/1978
Registered Principal ExaminationCurrent Firm
BOCK EVANS FINANCIAL COUNSEL, LTD.
CRD#: 112859 / SEC#: 801-68103
Contact information
Red Flags
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