CB
CB
Christopher Brock
28 Years of Experience
Atlanta, GA
5 DisclosuresBroker
Christopher Brock is a registered investment advisor at Morgan Stanley, based in Atlanta, GA, with 28 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
5 Concourse Parkway, Suite 2000, Atlanta, GA, 30328
Get directionsHistory
Regulatory History (5)
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
December 2006Denied
Customer Dispute
July 2002Denied
Customer Dispute
December 2001Denied
Customer Dispute
October 2001Denied
Customer Dispute
July 2001Denied
Employment History
Current Registrations
Morgan Stanley
November 2013 - Present · 12 yrs 8 mos
Morgan StanleyBroker
October 2013 - Present · 12 yrs 9 mos
Morgan Stanley
October 2013 - Present · 12 yrs 9 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - December 2009 · 6 mos
Morgan Stanley Smith BarneyBroker
June 2009 - December 2009 · 6 mos
Morgan Stanley & CO. Incorporated
December 2008 - June 2009 · 6 mos
Morgan Stanley & CO. IncorporatedBroker
December 2008 - June 2009 · 6 mos
Citigroup Global Markets INC.
October 2001 - December 2008 · 7 yrs 2 mos
Citigroup Global Markets INC.Broker
October 2001 - December 2008 · 7 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1994 - October 2001 · 7 yrs 9 mos
State Registrations50 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMIMNMOMSMTNCNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.