Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Greg? Claim Your ProfileGreg Brock is a financial advisor with over 29 years of experience in the industry. Greg is a registered representative with UBS Financial Services Inc. and UBS Securities LLC and has a Series 63, Series 10, Series 24, Series 4, SIE, Series 3, Series 16, and Series 7 license. Greg is also registered in 52 states and territories, with a strong track record of helping clients meet their financial goals. Greg specializes in providing financial planning, investment management, and portfolio management for 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NJ
06/09/2004 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
CT
11/04/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
05/16/1995 - 10/28/1997
ING BARING (U.S.) SECURITIES, INC. (NEW YORK NY)
NA
10/03/1994 - 05/16/1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
BC
Issued 12/09/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/12/2012
Series 24 - General Securities Principal Examination
BC
Issued 03/29/2000
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/2013
Series 3 - National Commodity Futures Examination
BC
Issued 08/30/1995
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 09/30/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
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
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