BROCK SECURITIES LLC
CRD #122156 SEC #801-70865 NEW YORK, NY 212-209-3000
SEC Registered Broker-Dealer
Total AUM
$4.6B
Discretionary
$4.6B
Employees
--
Clients
10
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2010
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROWN, NORMAN H JR | I | MEMBER (MI ONLY) | NA | |
| BURKE, KATHLEEN MARIE | I | MEMBER | NA | |
| LEBEC, ALAIN MARCEL | I | MEMBER | NA | |
| SVENSON, CHARLES OSCAR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TAYLOR, ZACHARY JAMES | I | MEMBER | NA | |
| BROCK CAPITAL GROUP LLC | DE | MANAGING MEMBER | E | Control |
Registrations
Federal
IA
Mar 31, 2010 REGISTERED
Address
622 THIRD AVENUE, 12TH FLOORNEW YORK, NY 10019
United States
Phone: 212-209-3000