Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Edmund? Claim Your ProfileEdmund Brock is a financial advisor at LPL Financial LLC with over 25 years of experience in the industry. Edmund is licensed to provide financial advice in several states, including Rhode Island, California, Connecticut, Florida, Massachusetts, New Hampshire, New Jersey, New York, Ohio, and Texas. Edmund holds several industry certifications, including Series 63, Series 65, Series 7, and the SIE. Edmund has been registered with LPL Financial LLC since December 2023. Before joining LPL Financial LLC, Edmund was affiliated with Ameriprise Financial Services, LLC from August 1997 to December 2023.
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.
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RI
12/08/2023 - Present
LPL Financial LLC (Wakefield RI)
RI
08/15/1997 - 12/12/2023
AMERIPRISE FINANCIAL SERVICES, LLC (WAKEFIELD RI)
MN
08/15/1997 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 04/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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