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

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

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Owners & executives

2 of 2
  • Charles Brock

    Charles Brock

    Chairman and Chief Executive OfficerCRD 5758862

  • Charles Svenson

    Charles Svenson

    President, Chief Executive OfficerCRD 440566

Contacts

3 of 6
  • Jongsoo Lee

    Jongsoo Lee

    Senior Managing DirectorCRD 5434434

  • Thomas Hopkins

    FinOpCRD 1835087

  • Albert Bellas

    Albert Bellas

    Managing DirectorCRD 17568

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

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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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth