Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Stuart Brock is a financial professional with over 20 years of experience in the industry. Michael is currently registered with BNP Paribas Securities Corp. and holds a Series 7, Series 24, Series 63, Series 79TO, Series 99TO, and SIE license. Michael has worked for a number of firms including Citigroup Global Markets Inc., Wells Fargo Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Securities LLC, and SG Cowen & Co., LLC. Michael is registered in all 50 states and is dedicated to providing clients with the highest level of service and expertise.
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.
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.
1
2
NY
06/27/2024 - Present
BNP Paribas Securities Corp. (NEW YORK NY)
CA
05/16/2022 - 12/12/2023
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
11/07/2011 - 04/20/2021
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
CA
11/01/2010 - 08/04/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
06/01/2004 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (SAN FRANCISCO CA)
NY
10/12/2001 - 05/18/2004
SG COWEN & CO., LLC (NEW YORK NY)
BC
Issued 06/01/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2022
Series 24 - General Securities Principal Examination
BC
Issued 06/27/2024
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2001
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 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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