Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Guy? Claim Your ProfileGuy Bock has been in the financial services industry since November 24, 1987 and currently works as a Registered Representative with Morgan Stanley. Guy Bock has been registered with the Financial Industry Regulatory Authority (FINRA) since June 1, 2009 and holds the Series 3, 7, 63 and SIE licenses. Guy Bock has also been registered with the Securities and Exchange Commission (SEC) as an Investment Advisor Representative since June 1, 2009 and holds the Series 65 license. Guy Bock is licensed to provide investment advice and securities services in Arizona, California, Connecticut, Delaware, Florida, Georgia, Louisiana, Maine, Maryland, Massachusetts, Michigan, Missouri, New Jersey, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Texas, Virginia, and Wisconsin. Guy Bock was previously employed by Citigroup Global Markets Inc., Morgan Stanley & Co., Incorporated, Morgan Stanley DW Inc., Prudential Securities Incorporated and Thomson McKinnon Securities Inc.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
02/11/2014 - Present
Morgan Stanley (Morristown NJ)
NJ
11/09/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MORRISTOWN NJ)
NJ
04/02/2007 - 11/13/2007
MORGAN STANLEY & CO., INCORPORATED (MORRISTOWN NJ)
NJ
08/04/1998 - 04/02/2007
MORGAN STANLEY DW INC. (MORRISTOWN NJ)
NY
09/15/1989 - 08/04/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/25/1987 - 09/16/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
IA
Issued 12/30/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/31/1987
Series 3 - National Commodity Futures Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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