Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock Alan Hart is a financial professional who is registered with National Financial Services LLC. Brock Hart has been in the financial services industry since 2003. Brock has a Series 3, 7, 9, 10, 63, 99TO and SIE.
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.
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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2
TX
07/10/2015 - Present
National Financial Services LLC (WESTLAKE TX)
TX
05/14/2012 - 11/19/2014
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
TX
04/18/2007 - 10/28/2010
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
RI
01/18/2001 - 12/07/2006
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BC
Issued 01/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/25/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/07/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2008
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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