Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brock? Claim Your ProfileBrock Raymond Hively is a financial advisor registered with LPL Financial LLC, based in York, PA. Brock has been in the financial services industry since August 1998 and is a Certified Financial Planner™. Brock has experience with several firms, including RBC Capital Markets, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and Dean Witter Reynolds Inc.. Brock provides a variety of services including financial planning, consulting, and portfolio management.
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
PA
10/03/2023 - Present
LPL Financial LLC (YORK PA)
PA
04/19/2012 - 10/18/2023
RBC CAPITAL MARKETS, LLC (YORK PA)
PA
06/01/2009 - 04/30/2012
MORGAN STANLEY SMITH BARNEY (YORK PA)
PA
07/31/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (YORK PA)
NY
08/28/1998 - 08/02/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 03/19/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/24/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 08/27/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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