Anna Brock is a registered investment advisor at Morgan Stanley, based in Louisville, KY, with 29 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
4969 US Highway 42, Suite 1200, Louisville, KY, 40222
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
December 2010 - Present · 15 yrs 5 mos
Morgan StanleyBroker
December 2010 - Present · 15 yrs 5 mos
Previous Registrations
PNC InvestmentsBroker
November 2009 - October 2010 · 11 mos
PNC Investments
November 2009 - October 2010 · 11 mos
Natcity Investments, INC.Broker
April 2008 - November 2009 · 1 yr 7 mos
Natcity Investments, INC.
April 2008 - November 2009 · 1 yr 7 mos
UBS Financial Services INC.
January 2004 - May 2008 · 4 yrs 4 mos
UBS Financial Services INC.Broker
March 2003 - May 2008 · 5 yrs 2 mos
Natcity Investments, INC.Broker
January 2001 - March 2003 · 2 yrs 2 mos
Painewebber IncorporatedBroker
August 2000 - December 2000 · 4 mos
J.C. Bradford & CO.Broker
December 1997 - August 2000 · 2 yrs 8 mos
Prudential Securities IncorporatedBroker
September 1997 - December 1997 · 3 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
December 1996 - August 1997 · 8 mos
State Registrations40 states
ALARAZCACOCTDCDEFLGAIAIDILINKSKYMAMDMIMNMOMSNCNDNJNMNVNYOHOKORPASCTNTXUTVAWAWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.