Paul Brock has been an investment adviser representative at Northeast Planning Associates since July 2017, and is not listed among the firm’s executive officers or direct owners.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
Paul Brock’s longest registration is the current one, 19 years at LPL Financial LLC since 2007. Before joining Northeast Planning Associates in 2017, Paul Brock was registered through Mutual Service Corporation and Veravest Investment Advisors, Inc.
- – present · 9 yearsChandler, AZ · Adviser representative · Firm CRD 131406
- – · 1 yearChandler, AZ · Adviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · 19 yearsChandler, AZ · Adviser representative · Firm CRD 6413
- – · 7 yearsChandler, AZ · Adviser representative · Firm CRD 131406
- Mutual Service Corporation– · under a yearPortsmouth, NH · Adviser representative · Firm CRD 4806
- Veravest Investment Advisors, Inc.– · 13 yearsPortsmith, NH · Adviser representative · Firm CRD 105796
Investment adviser representative registrations
Paul Brock is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from July 2007; the most recent is Arizona, in July 2017.
- ArizonaSince 5 July 2017
- New HampshireSince 27 July 2007
- TexasResidentSince 19 September 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 19 January 1996 |
| Series 24 | General Securities Principal Examination | 20 April 1995 |
| Series 7 | General Securities Representative Examination | 2 August 1991 |
| Series 22 | Direct Participation Programs Representative Examination | 4 January 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 August 1987 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 August 1987 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Paul Harris Brock
- CRD
- 1690680
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- 2231 East Pecos Road, Suite 2, Chandler, AZ 85225
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1987
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Paul Brock work?
Paul Brock is an investment adviser representative registered through Northeast Planning Associates, Inc. since July 2017, and is not listed among the firm’s executive officers or direct owners.
Is Paul Brock a financial advisor?
Yes. Paul Brock has a current investment-adviser registration in Arizona, New Hampshire and Texas, through Northeast Planning Associates since July 2017.
How many years of experience does Paul Brock have?
Paul Brock has 39 years in the financial industry, since August 1987, across 4 adviser firms.
What exams has Paul Brock passed?
Paul Brock has passed 6 licensing exams: the Series 63, Series 6, Series 22, Series 7, Series 24 and Series 65. The earliest, the Series 63, was passed in August 1987. FINRA credited Paul Brock with the SIE, which began in October 2018.
Where did Paul Brock work before Northeast Planning Associates?
Before Northeast Planning Associates, Paul Brock was registered through Mutual Service Corporation, November 2003 to September 2004; Veravest Investment Advisors, Inc., February 1990 to November 2003.
Where is Paul Brock based?
Paul Brock’s registered office is in Chandler, AZ.
Is Paul Brock registered with FINRA?
Yes. Paul Brock has a current broker registration, under CRD 1690680.
Source: FINRA BrokerCheck
How can I verify Paul Brock’s record?
Search CRD 1690680 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Paul Brock’s full registration record.
