Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mcrae Brock is a financial advisor with over 30 years of experience in the industry. David is currently registered with Osaic Wealth, Inc. in Houston, TX. David has a diverse background and has held previous positions at TRIAD ADVISORS LLC, KESTRA INVESTMENT SERVICES, LLC, FIRST HEARTLAND CAPITAL, INC., MML INVESTORS SERVICES, INC., NYLIFE SECURITIES INC., W. S. GRIFFITH & CO., INC., MUTUAL OF OMAHA INVESTOR SERVICES, INC., CUNA BROKERAGE SERVICES, INC., and SECURITIES MANAGEMENT & RESEARCH, INC. David is a Series 6 and Series 63 licensed representative. David specializes in providing financial planning, pension consulting, and educational seminars.
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.
1
2
TX
08/23/2024 - Present
Osaic Wealth, Inc. (Houston TX)
TX
04/14/2022 - 08/23/2024
TRIAD ADVISORS LLC (Houston TX)
TX
04/12/2012 - 03/31/2022
KESTRA INVESTMENT SERVICES, LLC (HOUSTON TX)
TX
03/19/2010 - 11/01/2011
FIRST HEARTLAND CAPITAL, INC. (HOUSTON TX)
TX
01/22/2003 - 02/22/2010
MML INVESTORS SERVICES, INC. (HOUSTON TX)
NY
04/14/1999 - 01/21/2003
NYLIFE SECURITIES INC. (NEW YORK NY)
CT
12/05/1997 - 04/19/1999
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
NE
01/15/1996 - 12/13/1997
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (OMAHA NE)
IA
10/08/1992 - 11/16/1995
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
IA
05/26/1992 - 07/20/1992
SECURITIES MANAGEMENT & RESEARCH, INC. (CEDAR RAPIDS IA)
BC
Issued 10/22/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure David Brock is the right advisor for you? Invested Better is here to help.
