Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock Becker is a financial advisor with over 20 years of experience. Brock is currently registered with Cetera Investment Advisers LLC and Sageview Advisory Group, LLC. Brock is also registered as an investment advisor representative in California and Texas. Brock specializes in providing financial planning and asset management services. Brock has a strong background in the financial services industry and is committed to providing personalized financial advice to individuals, families, and businesses.
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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CA
06/29/2023 - Present
Cetera Investment Advisers LLC (SIMI VALLEY CA)
CA
11/01/2004 - 08/29/2008
ING FINANCIAL PARTNERS, INC. (EL SEGUNDO CA)
CA
11/01/2004 - 08/29/2008
MULTI-FINANCIAL SECURITIES CORPORATION (EL SEGUNDO CA)
PA
07/24/2001 - 05/15/2002
VANGUARD MARKETING CORPORATION (MALVERN PA)
BOTH
Issued 10/30/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 8/9/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/27/2004
Series 7 - General Securities Representative Examination
BC
Issued 7/23/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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