Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Toni? Claim Your ProfileToni Brock has been a registered investment advisor since 2011. Toni is licensed to provide investment advice in both broker-dealer and investment advisor capacities. Toni has worked with Merrill Lynch, Pierce, Fenner & Smith Inc. for 13 years. Prior to that, Toni worked at Morgan Stanley. Toni is experienced in working with individuals, corporations, high-net-worth individuals, pension and profit-sharing plans, insurance companies, and charitable organizations.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
06/14/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EL SEGUNDO CA)
CA
06/05/2015 - 06/21/2024
MORGAN STANLEY (Los Angeles CA)
CA
06/06/2011 - 06/08/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BEVERLY HILLS CA)
BOTH
Issued 06/24/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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