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William Justus Brock

Four Points Capital Partners LLC

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About William Justus Brock

William Justus Brock is a financial advisor currently working for Four Points Capital Partners LLC. He is a Series 7 and Series 63 licensed professional with over 20 years of experience in the financial services industry. William began his career in 1999 and has held previous roles at firms like Goldman Sachs, Salomon Smith Barney, and Niagara International Capital Limited. William's current affiliations are with Four Points Capital Partners LLC in New York, NY and Buffalo, NY.

Firm Information

William Brock is currently registered with Four Points Capital Partners LLC. Four Points Capital Partners LLC is a Limited Liability Company formed in July 1997 and is registered to operate in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has one SEC registration and is approved in 52 states.

Not reported

Assets Under Management

Not reported

Total Clients

14

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.

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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William Brock’s Registration & Firm History

NY

05/30/2017 - Present

Four Points Capital Partners LLC (NEW YORK NY)

NY

12/14/2015 - 05/31/2017

NIAGARA INTERNATIONAL CAPITAL LIMITED (NEW YORK NY)

NY

08/06/2013 - 07/15/2015

FREDERICKS MICHAEL SECURITIES, INC. (NEW YORK NY)

NY

03/23/2011 - 04/16/2012

CROSS POINT CAPITAL LLC (NEW YORK NY)

NY

11/16/2010 - 03/25/2011

NIAGARA INTERNATIONAL CAPITAL LIMITED (NEW YORK NY)

NY

07/01/2004 - 10/03/2007

BEAR, STEARNS & CO. INC. (NEW YORK NY)

CA

05/14/2003 - 04/30/2004

HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL (LOS ANGELES CA)

NY

09/01/1998 - 05/21/1999

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

09/17/1996 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

NY

04/12/1994 - 10/28/1994

GOLDMAN, SACHS & CO. (NEW YORK NY)

NA

10/25/1991 - 04/21/1994

GOLDMAN SACHS MONEY MARKETS, L.P.

NA

05/26/1989 - 10/25/1991

GOLDMAN SACHS MONEY MARKETS INC.

NA

05/20/1986 - 02/13/1987

CS FIRST BOSTON CORPORATION

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Licenses & Designations

BC

Issued 07/21/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/12/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Justus Brock.
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