James BrockCRD Number: 3052028
Current Firm: Lpl Financial LLC
James Brock (CRD# 3052028) is an Investment Advisor Representative working at Lpl Financial LLC in Grand Island, NE and has over 24 years of experience in the finance industry.
Eagle Strategies LLC
Allen Capital Group, LLC
Allen Capital Group, LLC
|Lpl Financial LLC||Grand Island, NE||Feb 2018 - Current||4|
|Equitable Wealth Management/sii Investments, Inc.||Grand Island, NE||May 2005 - Feb 2018||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1998|
|S65||NASAA Investment Advisors Law Examination||Jan 2000|
Total Assets Under Management404,176MILLIONS
Total Number of Accounts1,517,995ACCOUNTS
Average Account Value$266,257
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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, VI, VT, WA, WI, WV, WY
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