Lionel Dwayne Brock
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Lionel Dwayne Brock is an investment adviser representative with LPL Financial LLC in Maumee, OH, where they have been registered since 2023. They have worked in the securities industry since 2011 and were previously registered with Transamerica Financial Advisors, Inc. They have passed 2 industry qualification exams, including the Series 6 (investment company and variable products). They are registered to provide investment advice in Ohio.
Office
Advisors at this office: 9
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Ohio
- Broker:
1 state or territory
Ohio
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- World Financial Group, Inc.Oct 2011 – Nov 2023Maumee, OH
- Transamerica Financial Advisors, IncJan 2012 – Nov 2023Maumee, OH
- DebtmericaMar 2012 – Feb 2023Santa Ana, CA
- First Solar IncAug 2015 – Jan 2017Perrysburg, OH
- MAKE A WISH Regional Advisory BoardMar 2017 – no end date reportedMaumee, OH
- United HealthcareSep 2017 – no end date reportedCleveland, OH
- NetlawDec 2019 – Nov 2023Lousiville, KY
- WealthWaveApr 2020 – Nov 2023Maumee, OH
- LPL Financial LLCNov 2023 – no end date reportedToledo, OH
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
Showing 12 of 24,114 in the directory
Similar advisors in Maumee, OH
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Lionel Dwayne Brock has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched