Brock Securities LLC

Broker-DealerFINRA Member

Total AUM

—

Advisory reps

8

Avg account

$0

Firm details

Headquarters: New York, New York
CRD number: 122156
Registered since: February 14, 2003
Website: brocksecurities.com

Firm profile

FINTRX

Overview

Brock Securities LLC is organized as a limited liability company and is classified in the data set as an investment bank. The firm’s ownership is recorded as a mix of a domestic entity and an individual. It does not report acting as a capital allocator, and it is not flagged as an active ESG investor, a multi-state adviser, a pension consultant, or a related adviser. The source material provides no granular description of the firm’s advisory or deal-making activities.

Assets & Accounts

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Owners & executives

2 of 2

Charles Brock
Chairman and Chief Executive OfficerCRD 5758862
Charles Svenson
President, Chief Executive OfficerCRD 440566

Contacts

3 of 6

Jongsoo Lee
Senior Managing DirectorCRD 5434434
Thomas Hopkins
FinOpCRD 1835087
Albert Bellas
Managing DirectorCRD 17568

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: New York
Address: 505 Park Ave
Time zone: ET (UTC-5)
Office locations

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