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Anthony Wayne Brock

Siebert Williams Shank & CO., LLC

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About Anthony Wayne Brock

Anthony Wayne Brock is a financial advisor with Siebert Williams Shank & Co., LLC. Anthony has been working in the financial services industry since November 5, 1993. Anthony holds a Series 63, Series 7, and SIE. Anthony is registered in 9 states including: California, Florida, Georgia, Maryland, New York, North Carolina, Texas, Washington and Wisconsin. Anthony was previously registered with Cambridge Investment Research, Inc., Cantella & Co., Inc., Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Fahnestock & Co. Inc., CIBC World Markets Corp., APS Financial Corporation, and M.G.S.I. Securities, Inc..

Firm Information

Anthony Brock is currently registered with Siebert Williams Shank & CO., LLC. Siebert Williams Shank & CO., LLC is a Limited Liability Company that was formed in March 1997. The firm is registered in all 50 states and with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Anthony Brock’s Registration & Firm History

TX

01/31/2024 - Present

Siebert Williams Shank & CO., LLC (HOUSTON TX)

TX

12/09/2022 - 02/02/2024

CAMBRIDGE INVESTMENT RESEARCH, INC. (HOUSTON TX)

TX

08/15/2014 - 12/09/2022

CANTELLA & CO., INC. (HOUSTON TX)

TX

06/01/2009 - 08/20/2014

MORGAN STANLEY (HOUSTON TX)

TX

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (HOUSTON TX)

TX

03/14/2003 - 04/02/2007

MORGAN STANLEY DW INC. (HOUSTON TX)

NY

01/03/2003 - 03/17/2003

FAHNESTOCK & CO. INC. (NEW YORK NY)

NY

09/27/1999 - 01/03/2003

CIBC WORLD MARKETS CORP. (NEW YORK NY)

TX

04/18/1997 - 08/25/1999

APS FINANCIAL CORPORATION (AUSTIN TX)

MA

02/14/1997 - 04/10/1997

CANTELLA & CO., INC. (MALDEN MA)

NY

09/18/1995 - 06/21/1996

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

TX

02/03/1993 - 09/20/1995

M.G.S.I. SECURITIES, INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 03/12/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/22/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Anthony Wayne Brock.
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