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Gerard Edward Brock

Pershing LLC

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About Gerard Edward Brock

Gerard Edward Brock is a financial professional with over 30 years of experience in the industry. Gerard is currently registered with Pershing LLC and Pershing Advisor Solutions LLC in Jersey City, New Jersey. Gerard's career spans various firms, including Warburg Dillon Read LLC and U.S. Clearing Corp. Gerard holds Series 7, Series 52TO, and SIE licenses. Gerard is also registered in New Jersey and New York.

Firm Information

Gerard Brock is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Gerard Brock’s Registration & Firm History

NJ

11/09/2021 - Present

Pershing LLC (JERSEY CITY NJ)

NJ

07/28/1999 - 08/21/2007

PERSHING LLC (JERSEY CITY NJ)

NY

02/12/1992 - 07/31/1998

WARBURG DILLON READ LLC (NEW YORK NY)

TX

11/13/1989 - 02/20/1990

U.S. CLEARING CORP. (DALLAS TX)

CO

03/22/1989 - 09/14/1989

THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)

NA

04/07/1988 - 02/28/1989

INVESTORS CENTER, INC.

NA

03/04/1988 - 04/05/1988

GRUNTAL & CO. INCORPORATED

NA

02/23/1988 - 03/08/1988

MOSELEY SECURITIES CORPORATION

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Licenses & Designations

BC

Issued 04/12/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/01/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Gerard Edward Brock.
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