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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anna? Claim Your ProfileAnna Maria Brock is a financial advisor at Morgan Stanley. Anna has been a registered representative for over 25 years and has experience working with a variety of clients, including individuals, families, businesses, and institutions. Anna has a wide range of financial products and services to meet her clients' needs. Anna has been a registered representative in both Kentucky and Texas since 2010. Prior to joining Morgan Stanley, Anna worked at PNC Investments, NatCity Investments, UBS Financial Services, PaineWebber Incorporated, J.C. Bradford & Co., Prudential Securities Incorporated, and J.J.B. Hilliard, W.L. Lyons, Inc. Anna is dedicated to providing her clients with personalized financial advice and helping them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
KY
01/20/2011 - Present
Morgan Stanley (Louisville KY)
KY
11/13/2009 - 10/29/2010
PNC INVESTMENTS (LOUISVILLE KY)
KY
04/24/2008 - 11/13/2009
NATCITY INVESTMENTS, INC. (LOUISVILLE KY)
KY
03/07/2003 - 05/07/2008
UBS FINANCIAL SERVICES INC. (LOUISVILLE KY)
OH
01/09/2001 - 03/12/2003
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
NJ
08/14/2000 - 12/13/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
12/22/1997 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
09/02/1997 - 12/23/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
KY
12/16/1996 - 08/12/1997
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
BC
Issued 01/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/28/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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