David Brock, financial advisor Winter Garden FL
83 score

David Brock

CRD Number: 1296264
Current Firm: Kiaros Advisors, LLC

David Brock (CRD# 1296264) is an Investment Advisor Representative working at Kiaros Advisors, LLC in Winter Garden, FL and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
David Brock, Sole Proprietor Winter Garden, FL Jan 2017 - Current 1
Kiaros Advisors, LLC Annapolis, MD Jan 2012 - Current 6
Kairos Group Annapolis, MD Oct 1983 - Jan 2017 33
Meyers Associates LP Annapolis, MD Sep 2012 - Dec 2012 < 1
Capital Investment Group, Inc. Raleigh, NC Jan 2011 - Sep 2011 < 1
Lifemark Securities Corp. Rochester, NY Mar 2009 - Dec 2010 1
Nfp Securities, Inc. Alexandria, VA Nov 2005 - Mar 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1991
S65 NASAA Investment Advisors Law Examination Feb 1993
Disclosure Information

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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for David P. Brock
Phone Number: 215-768-1686
Registered State(s):
  • FL
Current Firm Details
Kiaros Advisors, LLC
Firm's CRD Number: 159955
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    2
    ACCOUNTS
  • Average Account Value
    $50,493
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

FL, NC

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BADGES
83

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