Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock Cooper is a registered representative with Principal Securities, Inc. Brock has over 23 years of experience in the financial industry. Brock is licensed to sell securities in Iowa. Brock is currently employed by Principal Securities, Inc., which is located in Des Moines, Iowa. Brock has previously been employed by ING FINANCIAL PARTNERS, INC. and INVEST FINANCIAL CORPORATION. Brock has passed the Series 63, Series 66, Series 7, Series 24 and SIE examinations. Brock also holds a Series 14 and Series 99TO license. Brock specializes in providing financial advice to individuals, corporations, charitable organizations, pension and profit-sharing plans, and high-net-worth individuals.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
01/08/2014 - Present
Principal Securities, Inc. (DES MOINES IA)
IA
05/17/2004 - 10/11/2013
ING FINANCIAL PARTNERS, INC. (DES MOINES IA)
WI
01/20/2000 - 05/07/2004
INVEST FINANCIAL CORPORATION (APPLETON WI)
BOTH
Issued 01/06/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/29/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/2023
Series 14 - Compliance Officer Examination
BC
Issued 09/25/2002
Series 24 - General Securities Principal Examination
BC
Issued 09/13/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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