Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock Clinton Johns is an investment advisor representative with First Trust Advisors LP. Brock has been in the financial services industry for more than 8 years and has a wide range of experience. Brock has earned the following securities licenses: Series 6, Series 7, Series 63, Series 66, and the SIE. Brock is registered with the states of Texas and Illinois.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fixed fees per unit (uits) for portfolio supervisory services
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2
TX
10/09/2023 - Present
First Trust Advisors LP (AUSTIN TX)
SC
05/12/2022 - 12/16/2022
LPL FINANCIAL LLC (FORT MILL SC)
AZ
10/14/2021 - 04/28/2022
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
NE
08/13/2019 - 04/30/2021
NORTHERN LIGHTS DISTRIBUTORS, LLC (ELKHORN NE)
TX
07/19/2017 - 05/31/2019
CHARLES SCHWAB & CO., INC. (Austin TX)
OR
12/04/2015 - 05/10/2017
VOYA FINANCIAL ADVISORS, INC. (LAKE OSWEGO OR)
OR
07/15/2014 - 12/21/2015
J.P. MORGAN SECURITIES LLC (WILSONVILLE OR)
BOTH
Issued 02/05/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/14/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/2017
Series 7 - General Securities Representative Examination
BC
Issued 07/15/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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