Brock Himan is a registered investment advisor, based in Asheville, NC, with 32 years of industry experience.
Location
301 College St, Ste 210, Asheville, NC, 28801
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Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2008Settled
Customer Dispute
May 2008Settled
Customer Dispute
April 2008Settled
Customer Dispute
February 2004Denied
Other Business Activities
Brock is a board member for Truth in Nature, a Christian youth program, advising on programming. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
Truist Investment Services, INC.
February 2021 - Present · 5 yrs 3 mos
Truist Advisory Services, INC.
February 2021 - Present · 5 yrs 3 mos
Truist Investment Services, INC.Broker
February 2021 - Present · 5 yrs 3 mos
Previous Registrations
Bb&t Securities, LLC
December 2016 - February 2021 · 4 yrs 2 mos
Bb&t Securities, LLCBroker
December 2016 - February 2021 · 4 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2009 - January 2017 · 7 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2009 - January 2017 · 7 yrs 4 mos
UBS Financial Services INC.
December 2001 - September 2009 · 7 yrs 9 mos
UBS Financial Services INC.Broker
August 2000 - September 2009 · 9 yrs 1 mo
J.C. Bradford & CO.Broker
March 1998 - August 2000 · 2 yrs 5 mos
Wheat, First Securities, INC.Broker
December 1993 - April 1998 · 4 yrs 4 mos
State Registrations33 states
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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.