Company Name:
BROCK SECURITIES LLC
Address:
16TH FLOOR, 505 PARK AVE, NEW YORK, NY 10022
CRD Number:
122156
CIK Number:
1178721
SEC File Number:
865467
Financial Regulator:
SEC/ FINRA
Registration started
Ended
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
2020
2021
CDR: 2176520
STUART APPELSON
started on 2003-02-14
CDR: 838133
NORMAN BROWN
started on 2003-12-10
CDR: 440566
CHARLES SVENSON
started on 2003-02-14
CDR: 815347
ALAIN LEBEC
started on 2005-02-08
CDR: 5434434
JONGSOO LEE
JAMES LEE JONGSOO JAMES LEE
started on 2007-12-21
CDR: 5239077
ZACHARY TAYLOR
started on 2007-09-10
CDR: 2491980
SEAN BOSWICK
SEAN MORGANSTORM BOSWICK SEAN STORM BOSWICK STORM BOSWICK
started on 2009-09-14
CDR: 2506114
KATHLEEN BURKE
started on 2009-07-17
CDR: 2491980
SEAN BOSWICK
SEAN MORGANSTORM BOSWICK SEAN STORM BOSWICK STORM BOSWICK
ended on 2010-03-17
CDR: 2506114
KATHLEEN BURKE
ended on 2010-08-04
CDR: 5239077
ZACHARY TAYLOR
ended on 2010-08-04
CDR: 5706515
DAVID NEWMAN
DAVID NEWMAN
started on 2011-05-30
CDR: 5187674
MARK PRINS
started on 2011-10-17
CDR: 5958009
WILLIAM MANGER
started on 2011-12-06
CDR: 1507774
JAY RODIN
JAY AVRHAM RODIN
started on 2011-05-30
CDR: 2491980
SEAN BOSWICK
SEAN MORGANSTORM BOSWICK SEAN STORM BOSWICK STORM BOSWICK
started on 2011-12-22
CDR: 4003874
DANIEL ZWELLING
started on 2011-06-06
CDR: 5976545
STEPHEN ROLA
STEPHEN ROLA
started on 2011-11-23
CDR: 5945942
MATTHEW SAUNDERS
started on 2011-11-22
CDR: 4487403
ERIC ABITBOL
started on 2011-05-30
CDR: 5122839
PETER WEPRIN
started on 2011-07-13
CDR: 5399663
JOSHUA GOLDSTEIN
started on 2012-02-28
CDR: 4168564
MARK LANZANA
MARK T LANZANA
started on 2012-09-17
CDR: 5187674
MARK PRINS
ended on 2012-02-21
CDR: 2002427
Jane Sadowsky
started on 2013-07-10
CDR: 4203538
ABHISHEK MATHUR
started on 2013-01-01
CDR: 2435828
GENNARO FULVIO
GENNARO FULVIO JOHN FULVIO
started on 2013-11-20
CDR: 2176520
STUART APPELSON
ended on 2013-11-27
CDR: 2889032
OLIVER STERLING
James Sterling
started on 2014-06-18
CDR: 1569528
ALAN BILOSKI
started on 2014-03-13
CDR: 4168564
MARK LANZANA
MARK T LANZANA
ended on 2014-09-18
CDR: 5976545
STEPHEN ROLA
STEPHEN ROLA
ended on 2014-03-12
CDR: 4386028
CHRISTOPH BENE
started on 2015-03-23
CDR: 3266154
GARY ZIMMERMAN
GARY E ZIMMERMAN
started on 2015-06-05
CDR: 1835087
THOMAS HOPKINS
started on 2015-09-28
CDR: 5758862
CHARLES BROCK
CHARLES BROCK
started on 2015-05-21
CDR: 1256552
DAVID ZENKER
DAVID ZENKER
started on 2015-05-19
CDR: 2007470
SUSAN AUSTIN
SUSAN R DAVENPORT SUSAN ROSS DAVENPORT
started on 2015-03-10
CDR: 4003874
DANIEL ZWELLING
ended on 2015-10-21
CDR: 5945942
MATTHEW SAUNDERS
ended on 2015-06-29
CDR: 2435828
GENNARO FULVIO
GENNARO FULVIO JOHN FULVIO
ended on 2015-09-28
CDR: 5626902
JEREMY JOSSE
started on 2016-12-15
CDR: 2889032
OLIVER STERLING
James Sterling
ended on 2016-01-26
CDR: 1256552
DAVID ZENKER
DAVID ZENKER
ended on 2016-09-20
CDR: 4203538
ABHISHEK MATHUR
ended on 2016-02-18
CDR: 5122839
PETER WEPRIN
ended on 2016-08-18
CDR: 2776840
TODD MARKIN
started on 2017-05-08
CDR: 2356501
PETER ROCKEFELLER
PETER CLARK ROCKFELLER
started on 2017-04-27
CDR: 838133
NORMAN BROWN
ended on 2017-11-30
CDR: 5958009
WILLIAM MANGER
ended on 2017-05-19
CDR: 4588479
KEVIN GALLIGAN
Kevin Galligan
started on 2018-10-15
CDR: 2002427
Jane Sadowsky
ended on 2018-10-09
CDR: 5626902
JEREMY JOSSE
ended on 2018-07-12
CDR: 2776840
TODD MARKIN
ended on 2018-04-05
CDR: 2754881
ROBIN WEISS
ROBIN L GOLDNER ROBIN WEISS ROBIN LISA WEISSGOLDNER
started on 2019-04-22
CDR: 815347
ALAIN LEBEC
ended on 2019-01-22
CDR: 2007470
SUSAN AUSTIN
SUSAN R DAVENPORT SUSAN ROSS DAVENPORT
ended on 2019-08-29
CDR: 1507774
JAY RODIN
JAY AVRHAM RODIN
ended on 2020-03-12
CDR: 4487403
ERIC ABITBOL
ended on 2020-03-12
CDR: 1790226
MARTIN MURRER
MARTY MURRER
started on 2021-02-09
CDR: 1695892
CURTIS LAUNER
CURTIS N LAUNER
started on 2021-03-29
CDR: 6056839
ADAM LAUNER
started on 2021-03-26
CDR: 4588479
KEVIN GALLIGAN
Kevin Galligan
ended on 2021-01-19



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