Thomas Brock, financial advisor Casper WY
93 score

Thomas Brock

CRD Number: 1251569
Current Firm: Geneos Wealth Management, Inc.

Thomas Brock (CRD# 1251569) is an Investment Advisor Representative working at Geneos Wealth Management, Inc. in Casper, WY and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Geneos Wealth Management Casper, WY Apr 2013 - Current 3
Brock Strategic Investments Casper, WY Jan 2013 - Current 3
Kaiser & Company Casper, WY Sep 2005 - May 2013 7
Centech, Inc. Casper, WY Jan 2007 - Sep 2007 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1984
S65 NASAA Investment Advisors Law Examination Dec 1999
Contact Info for Thomas E. Brock
Phone Number: 303-785-8470
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    2,024
    MILLIONS
  • Total Number of Accounts
    10,968
    ACCOUNTS
  • Average Account Value
    $184,545
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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