Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Brock is a financial advisor with Gallagher Fiduciary Advisors, LLC. Richard has been in the industry since 1984 and has experience working with both individual and institutional clients. Richard has been registered with Gallagher Fiduciary Advisors, LLC since 2022. Before this Richard worked for Triad Advisors LLC and Kestra Investment Services, LLC. Richard's specialties include retirement planning, investment management, and executive benefit consulting.
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.
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.
See schedule d misc. for explanation
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.
A percentage of the total value of assets under management is charged.
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2
NC
04/18/2022 - Present
Gallagher Fiduciary Advisors, LLC (Charlotte NC)
NC
03/30/2022 - 08/23/2024
TRIAD ADVISORS LLC (Charlotte NC)
NC
01/16/2009 - 03/31/2022
KESTRA INVESTMENT SERVICES, LLC (CHARLOTTE NC)
NC
11/04/2003 - 01/20/2009
TRIAD ADVISORS, INC. (CHARLOTTE NC)
OH
09/26/2000 - 11/03/2003
CAP PRO BROKERAGE SERVICES, INC. (COLUMBUS OH)
NC
02/28/2001 - 04/24/2003
CB&H INVESTOR SERVICES, LLC (CHARLOTTE NC)
IL
12/12/1996 - 09/19/2000
OGILVIE SECURITY ADVISORS CORPORATION (CHICAGO IL)
NY
10/26/1994 - 12/12/1996
NEW ENGLAND SECURITIES (NEW YORK NY)
CA
06/22/1994 - 05/08/1996
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NY
11/19/1990 - 06/22/1994
NEW ENGLAND SECURITIES (NEW YORK NY)
CT
09/29/1988 - 11/26/1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY (HARTFORD CT)
NA
05/23/1986 - 07/12/1988
DEAN WITTER REYNOLDS INC.
NA
11/07/1983 - 04/02/1986
PRUCO SECURITIES CORPORATION
IA
Issued 05/21/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/18/2000
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 05/10/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2000
Series 7 - General Securities Representative Examination
BC
Issued 10/31/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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