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Karen Harris Brock

Commonwealth Financial Network

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About Karen Harris Brock

Karen Harris Brock is a financial advisor with Commonwealth Financial Network in Cary, North Carolina. Karen has been working in the financial services industry since 2001 and has a Series 7 and Series 66 license. She has a wide range of experience, including portfolio management for individuals and businesses, financial planning, and pension consulting. Karen is also a Certified Financial Planner. Karen Harris Brock is dedicated to helping clients achieve their financial goals.

Firm Information

Karen Brock is currently registered with Commonwealth Financial Network. Commonwealth Financial Network is an Approved Limited Liability Company formed in August 2017 and headquartered in Waltham, Massachusetts. The firm provides financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses and individuals, and other advisory services. They have a presence in all 50 states, as well as in Puerto Rico and the Virgin Islands. The firm manages approximately $177 billion in regulatory assets under management and has a large network of licensed agents, investment adviser representatives, registered representatives, and investment advisory functions. They cater to various client types, including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and state or municipal government entities.
Commonwealth Financial Network

29 SAWYER ROAD

WALTHAM, MA 02453-3483

$177.03B

Assets Under Management

19,600

Total Clients

3,791

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Karen Brock’s Registration & Firm History

NC

03/01/2023 - Present

Commonwealth Financial Network (Cary NC)

NC

07/02/2002 - 04/08/2010

COMMONWEALTH FINANCIAL NETWORK (CARY NC)

PA

06/26/2001 - 06/07/2002

INVESMART SECURITIES, LLC (PITTSBURGH PA)

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Licenses & Designations

BOTH

Issued 08/02/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/02/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Karen Harris Brock.
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