David BrockCRD Number: 6037706
Current Firm: Thrivent Investment Management Inc.
David Brock (CRD# 6037706) is an Investment Advisor Representative working at Thrivent Investment Management Inc. in San Jose, CA and has over 5 years of experience in the finance industry.
Three Bell Capital LLC
Skyoak Wealth Management, Inc.
Oceaniq Capital, LLC
|Thrivent Financial For Lutherans||Appleton, WI||Sep 2012 - Current||4|
|Thrivent Investment Management Inc.||San Jose, CA||May 2012 - Current||5|
|Thrivent Financial For Lutherans||Appleton, WI||Jul 2012 - Sep 2012||< 1|
|California State Automobile Association||Los Gatos, CA||Jan 2004 - Jul 2012||8|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jun 2012|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management8,027MILLIONS
Total Number of Accounts36,119ACCOUNTS
Average Account Value$222,230
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses