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Brock Fiduciary Services LLC CRD 153055
$588M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
505 Park Avenue 14Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-10-24 |
Branch Locations
505 Park Avenue 14Th Floor, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Brock Securities Llc | New York | NY | 09/2007 | Present |
| Brock Fiduciary Services Llc | New York | NY | 01/2013 | Present |
1. BROCK CAPITAL GROUP LLC. SAME ADDRESS AS BD. SENIOR MANAGING DIRECTOR, STRATEGIC ADVISORY SERVICES (NON INVESTMENT-RELATED). APPROX. 80 HOURS/MONTH.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-02-01 |
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