Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Brock is a financial advisor with over 30 years of experience in the industry. He has a strong track record of success in providing financial advice to a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations. Thomas is currently registered with Geneos Wealth Management, Inc. where he specializes in providing financial planning, portfolio management, and pension consulting services.
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.
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
WY
07/12/2017 - Present
Geneos Wealth Management, Inc. (CASPER WY)
WY
09/12/2005 - 05/02/2013
KAISER AND COMPANY (CASPER WY)
NY
06/08/2001 - 08/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
MO
08/03/1998 - 06/25/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
MN
07/15/1992 - 09/01/1998
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
05/14/1988 - 07/30/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/23/1984 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 12/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/1984
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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