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Current Employers
Equity Services, Inc.

One National Life Drive, Montpelier, VT 05604 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-22
  • NY RA
    APPROVED
    Since 2021-06-22

Branch Locations

1900 Genesee Street, Utica, NY 13502 • United States

354 Mountain View Dr. Suite 200, Colchester, VT 05446 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jim Brock Agency, Inc. Utica NY 08/1999 Present
National Life Of Vermont Montpelier VT 11/1999 Present
Equity Services, Inc. Montpelier VT 03/2000 Present
  • 08/1999 → Present
    Jim Brock Agency, Inc.
    Utica, NY
  • 11/1999 → Present
    National Life Of Vermont
    Montpelier, VT
  • 03/2000 → Present
    Montpelier, VT
Other Businesses

*NPA FINANCIAL, LLC.,INV REL,1900 GENESEE ST. UTICA, NY 13502,INS SALES, NATIONAL LIFE GROUP REP FOR THE AGENCY PRVDING INS AND FINC PRODS PRIMARILY FROM NLG(LIFE, ANN., FUNDS)4/2002-PRES, 160 HOURS/MONTH,9AM-4PM EST. *BROCK BUILDING 1900-1902 LLC.NOT INV REL.1900 GENESEE STREET,UTICA,NY 13502.FAMILY OWNED OFFICE BUILDING,OFFICE RENTAL.GEN MNGR,VICE PRES.1/1/89,40 HRS/MO. 8-9AM, 5-6PM. GEN MNGR DUTIES INCLUDING BUT NOT LIMITED TO RENTING OF AVAIL OFFICE SPACE & OVERSIGHT OF BUILDING OPER. *HERKIMER COUNTY COMM. COLLEGE NOT INV REL. 100 RESEREVOIR RD HERKIMER NY 13350. ADJUNCT PROF.SPRING&FALL SEM 2008-2009.16HRS/MO.DUR TRD HRS.TEACH BUSINESS LAW 1. *JIM BROCK AGENCY, 1900 GENESEE ST. UTICA, NY 13502; YES; OUR FAMILY AGENCY SINCE 1939; PRESIDENT; JAN 1989; 10 HRS/MO; YES AT TIMES; AGENT FOR SEVERAL INS. COMPANES; THERE IS NO EQUITY BUSINESS INVOLVED IN THIS ACTIVITY. *CLINTONVIEW FARMS LLC. INV REL. ESTATE/VACANT LAND. REAL ESTATE. TRUSTEE/MANAGER. 1996-CURRENT. FEW HRS/MO. NOT DURING TRADE HRS. *JAMES G BROCK SR U/A DTD 4/30/1997 FBO - JAMES BROCK JR FBO - LOLA A BROCK OR LOLA A MAKIN,1900 GENESEE ST,UTICA,NY 13502,1997,INV REL,ONGOING,TRUSTEE POLLY C BROCK LIVING TRUST DTD 10/25/1993,NOT DURING TRD/HRS,4%. *FRIENDS OF BASSETT HEALTHCARE NETWORK. ONE ATWELL ROAD, COOPERSTOWN NY 13326. JAN 2024. NOT INV REL. ADVANCE PHILANTHROPIC INTEREST OF THE ENTIRE BASSETT HEALTHCARE NETWORK. BOARD OF DIRECTORS, MEMBER. ATTEND BOARD MEETINGS, PERSONAL GIVING, REVIEW FINANCIALS/FUNDRAISING/GOAL SETTING/SECURE GIFTS AND GRANTS. DURING SOME TRADE HRS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-12-19
  • S63 Uniform Securities Agent State Law Examination
    1991-12-19
Other Names
  • Jim Brock

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