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RJ

Richard John Brock

Investment Adviser Representative at GALLAGHER FIDUCIARY ADVISORS, LLC

Davidson, NCCRD #1209197Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
42 yrs
States Registered
53 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 53 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/21/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 5/29/1986
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 4/18/2000
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 10/31/1983
Series 28
Introducing Broker/Dealer Financial Operations Principal Examination
Passed 12/18/2000
Series 24
General Securities Principal Examination
Passed 5/10/2000

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Blended rate
0.02
Source

Gallagher Fiduciary Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC WEALTH, INC.Current
8/23/2024 – Davidson, NC
GALLAGHER FIDUCIARY ADVISORS, LLCCurrent
4/15/2022 – Charlotte, NC
KESTRA ADVISORY SERVICES, LLC
4/28/2016 – 3/31/2022Charlotte,, NC
NFP ADVISOR SERVICES, LLC
1/16/2009 – 9/22/2016Charlotte, NC
TICE MCNINCH CAPITAL MANAGEMENT, INC.
1/26/2007 – 12/31/2008Charlotte, NC
TRIAD ADVISORS, INC.
11/4/2003 – 1/22/2007Charlotte, NC
CB & H BUSINESS SERVICES, LLC
3/8/2000 – 10/30/2003Charlotte, NC

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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View GALLAGHER FIDUCIARY ADVISORS, LLC firm profile
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. Richard John 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.

Richard John Brock - Financial Advisor in Davidson, NC | AdvisorFinder