Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock Balis is a financial advisor with UBS Financial Services Inc. located in Atlanta, GA. Brock has been in the financial industry since 2019. Brock is licensed to offer securities advice in Georgia and several other states including Alabama, Florida, Louisiana, South Carolina and Tennessee. Prior to joining UBS, Brock worked at Morgan Stanley and E*TRADE Securities LLC. Brock holds Series 7, 9, 10, 63 and 66 licenses and is a Registered Representative of FINRA and the state of Georgia.
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.
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.
See schedule d - miscellaneous
1
2
GA
08/14/2024 - Present
UBS Financial Services Inc. (ATLANTA GA)
GA
11/22/2022 - 08/13/2024
MORGAN STANLEY (Alpharetta GA)
GA
07/25/2019 - 09/05/2023
E*TRADE SECURITIES LLC (ALPHARETTA GA)
BOTH
Issued 03/25/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/05/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/03/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/25/2019
Series 7TO - General Securities Representative Examination
BC
Issued 06/27/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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