Brock C. Lansdale
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.
Brock Charles Lansdale was a registered financial professional .
Brock is a previously registered financial professional and started their career in finance in 1979. Brock had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2013 - January 24, 2018
SYMETRA SECURITIES, INC.
May 5, 2011 - October 2, 2013
SIGNATOR FINANCIAL SERVICES, INC.
May 5, 2011 - September 30, 2013
SIGNATOR FINANCIAL SERVICES, INC.
December 8, 2009 - December 1, 2010
DIRECTED SERVICES LLC
July 13, 2000 - September 5, 2000
ING FUNDS DISTRIBUTOR, INC.
May 5, 2000 - December 1, 2010
DIRECTED SERVICES LLC
May 17, 1999 - December 31, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 14, 1997 - May 20, 1999
AFSG SECURITIES CORPORATION
September 5, 1996 - September 30, 1997
LEGEND EQUITIES CORPORATION
June 21, 1994 - September 7, 1994
SECURITIES AMERICA, INC.
April 12, 1991 - June 23, 1992
MONY SECURITIES CORPORATION
August 27, 1990 - December 31, 1990
MENLO INVESTMENT CORPORATION
November 19, 1989 - February 8, 1990
OSAIC WEALTH, INC.
January 9, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 25, 1984 - January 19, 1987
PLANVEST CAPITAL CORPORATION
November 22, 1983 - May 7, 1984
EMPIRE SECURITIES CORPORATION
March 17, 1982 - December 16, 1983
LPL FINANCIAL LLC
July 2, 1979 - February 17, 1982
EQUITEC SECURITIES COMPANY
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
Series 1
Date: 6/19/1979
Registered Representative ExaminationCurrent Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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