Carol Brock is a control person of Argent Wealth and directly owns under 5% of it.
Argent Wealth is an investment adviser based in Ridgeland, MS, registered with the SEC since 2021. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and corporations and other businesses. Its regulatory assets under management total $487 million, as filed on 30 March 2026. Its fees, ownership and offices are on the firm’s profile.
- CRD
- 7061486
- Firm
- Argent Wealth · CRD 311685
- Role
- Chief Compliance Officer & Chief Operating Officer
- In role since
- December 2020 · 5 years
- Control person
- Yes
- Direct ownership
- Under 5%
- Firm headquarters
- Ridgeland, MS
- Individual registration
- No current adviser record · SEC search
- Disciplinary history
- Not yet shown here · SEC record
Where does Carol Brock work?
Carol Brock has been Chief Compliance Officer & Chief Operating Officer of Argent Wealth, LLC since December 2020, and is a control person of the firm.
How can I verify Carol Brock’s record?
Carol Brock’s role is listed on Argent Wealth, LLC’s Form ADV, which the SEC’s adviser search (adviserinfo.sec.gov) publishes under the firm’s CRD 311685.
