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Norman H. Brown

Some features on this profile are disabled
CRD#: 838133
NB

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.

Norman H Brown JR was a registered financial professional .

Norman is a previously registered financial professional and started their career in finance in 1977. Norman had worked at 6 firms and has passed the SIE and Series 7 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 10, 2003 - November 30, 2017

BROCK SECURITIES LLC

BD
CRD#: 122156
NEW YORK, NY
Past

November 3, 2000 - January 7, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

October 4, 1985 - January 7, 2002

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

March 16, 1983 - July 30, 1985

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

April 25, 1980 - March 17, 1983

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

June 1, 1977 - August 13, 1979

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

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
SIE
Date: 11/30/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1977
General Securities Representative Examination

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#: 122156

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