Mark Forrest Brock

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-11-06
MI	RA	APPROVED	2016-05-10

TX RA
APPROVED_RES

Since 2017-11-06
MI RA
APPROVED

Since 2016-05-10

Branch Locations

2337Stonebridge Dr. Bldng F, Flint, MI 48532 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Complete Financial Planning	Flint	MI	03/1993	Present
Transamerica Financial Advisors, Inc.	Flint	MI	03/1993	05/2016
Cambridge Investment Research, Inc.	Fairfield	IA	05/2016	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	05/2016	Present

03/1993 → Present

Complete Financial Planning

Flint, MI
03/1993 → 05/2016

Transamerica Financial Advisors, Inc.

Flint, MI
05/2016 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
05/2016 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2012-05-25 → 2016-05-10

Transamerica Financial Advisors, Llc

Flint, MI

Flint, MI

Other Businesses

1) INDEPENDENT INSURANCE AGENT, 2337 STONE BRIDGE DR FLINT MI, 03/1993, SELLING FIXED ANNUITY PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 2 HR/YR 0/TRADING 2) WC WRIGHT & ASSOC, 2337 STONE BRIDGE DR FLINT MI, 05/2015. INV REL, FINANCIAL PROFESSIONAL UTILIZING DBA NAME. 120 HR/MO 120 HR/MO TRADING 3) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 05/2016 AS ADVISORY REP OF A RIA. INV REL, 160 HR/MO 80 HR/MO TRADING 4) ST ROBERT CATHOLIC CHURCH, 310 N CHERRY ST FLUSHING MI, BOARD MEMBER OF A NON-PUBLIC ENTITY, 12/2019, NIR, 1 HR/MO 0 HR/MO TRADING 5) ST ROBERT CATHOLIC CHURCH, 310 N CHERRY ST FLUSHING MI, 120/2019, FINANCE COMMITTEE MEMBER OF A NON-PUBLIC ENTITY, NIR, 2 HR/MO 0 HR/MO TRADING 6) EMMAJOE LLC, 2337 STONE BRIDGE DR FLINT MI, 01/2017, This was set up by my CPA and attny, for tax purposes only, NIR, 0 HR/MO 0 HR/MO TRADING 7) COMPLETE WEALTH ADVISORS, 2337 STONE BRIDGE DR FLINT MI, 01/2018, IAR, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-04-17
S63	Uniform Securities Agent State Law Examination	1993-03-08

S65 Uniform Investment Adviser Law Examination

2012-04-17
S63 Uniform Securities Agent State Law Examination

1993-03-08

Other Names

Mark F Brock

View on SEC IAPD