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Paul Harris Brock

Investment Adviser Representative at NORTHEAST PLANNING ASSOCIATES, INC.

Chandler, AZCRD #1690680Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
39 yrs
States Registered
24 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 24 states
AlaskaArizonaCaliforniaColoradoConnecticutFloridaGeorgiaHawaiiIllinoisIndianaMaineMassachusettsMissouriNebraskaNew HampshireNew YorkNorth CarolinaPennsylvaniaTennesseeTexasUtahVirginiaWashingtonWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/19/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 8/15/1987
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/2/1991
Series 22
Direct Participation Programs Representative Examination
Passed 1/4/1991
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 8/15/1987
Series 24
General Securities Principal Examination
Passed 4/20/1995

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Northeast Planning Associates, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NORTHEAST PLANNING ASSOCIATES, INC.Current
7/5/2017Chandler, AZ
LPL FINANCIAL LLCCurrent
7/27/2007Chandler, AZ
NORTHEAST PLANNING ASSOCIATES, INC.
11/9/201511/21/2016Chandler, AZ
NORTHEAST PLANNING ASSOCIATES, INC.
7/28/200412/12/2011Chandler, AZ
MUTUAL SERVICE CORPORATION
11/19/20039/29/2004Portsmouth, NH
VERAVEST INVESTMENT ADVISORS, INC.
2/28/199011/13/2003Portsmith, NH

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Paul Harris 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.

Paul Harris Brock - Financial Advisor in Chandler, AZ | AdvisorFinder