Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock James Mumford is an Investment Advisor Representative for LPL Financial LLC. Brock has been in the securities industry since December 17, 2013. Brock is licensed to provide investment advice in South Carolina, Virginia and Maryland. Brock has a total of 3 product exams, 2 state exams and has been associated with LPL Financial LLC since December 2018. Brock was previously employed at BANC OF AMERICA INVESTMENT SERVICES, INC. and has worked in Charlotte, NC.
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.
Consulting and other non-discretionary advisory services
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.
1
2
SC
01/04/2024 - Present
LPL Financial LLC (Fripp Island SC)
NC
08/28/2001 - 12/06/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 07/10/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/20/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2019
Series 7TO - General Securities Representative Examination
BC
Issued 02/11/2019
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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