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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gilbert Brock is a financial advisor based in Utica, New York, with over 30 years of experience in the financial services industry. James has served as a registered representative and investment advisor representative with Equity Services, Inc., a firm headquartered in Montpelier, Vermont, since 2021. Previously, James worked with Mutual of Omaha Investor Services, Inc. in Omaha, Nebraska. James specializes in providing a range of financial services, including financial planning, portfolio management for individuals, pension consulting, and educational seminars. James holds various licenses and certifications including Series 6, Series 26, and Series 63.
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.
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.
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2
NY
06/22/2021 - Present
Equity Services, Inc. (UTICA NY)
NE
12/20/1991 - 03/07/2000
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (OMAHA NE)
BC
Issued 12/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/1996
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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