Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock Norton is a financial advisor with over 12 years of experience in the financial services industry. Brock has a Series 7 and Series 63 license and is registered in 22 states. Brock is also a Registered Investment Advisor (RIA) in Iowa and Texas. Brock is currently employed with Osaic Wealth, Inc. Previously, Brock was a registered representative with Signator Investors, Inc. and Ameritas Investment Corp. Brock focuses on providing financial planning, portfolio management, and investment advice to individuals and families. Brock also works with businesses to provide financial planning and investment advice.
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.
A percentage of the total value of assets under management is charged.
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2
IA
07/31/2019 - Present
Osaic Wealth, Inc. (FORT DODGE IA)
IA
01/17/2017 - 11/02/2018
SIGNATOR INVESTORS, INC. (FORT DODGE IA)
IA
01/27/2011 - 02/01/2017
AMERITAS INVESTMENT CORP. (W DES MOINES IA)
IA
Issued 12/22/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/03/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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