# BROCK SECURITIES LLC

BROCK SECURITIES LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 122156
- Type: SEC-registered investment adviser
- SEC file number: 801-70865
- Location: 622 THIRD AVENUE, 12TH FLOOR, NEW YORK, NY, 10019
- Phone: 212-209-3000
- Latest filing: 2010-03-31
- Regulatory AUM: $4.6B
- Discretionary AUM: $4.6B
- Clients: 11
- Accounts: 1

## Officers, owners & control persons (6)

| Name | Role | Location |
| --- | --- | --- |
| [BURKE LISA MARIE](https://search.stillhousedata.com/person/730151) | MANAGING DIRECTOR; MEMBER | — |
| [BROWN EDWARD TRIGG JR](https://search.stillhousedata.com/person/734304) | MEMBER (MI ONLY); SENIOR MANGING DIRECTOR | — |
| [TAYLOR JAMES](https://search.stillhousedata.com/person/757346) | ADMINISTRATIVE OFFICER; MEMBER | — |
| [SVENSON CHARLES OSCAR](https://search.stillhousedata.com/person/787462) | CHAIRMAN, PRESIDENT AND CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| [LEBEC ALAIN MARCEL](https://search.stillhousedata.com/person/787463) | MEMBER; SENIOR MANAGING DIRECTOR | — |
| [CAPPELL NORMAN ADAM](https://search.stillhousedata.com/person/787464) | GENERAL COUNSEL | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/122156/brochure
- Similar advisers: https://search.stillhousedata.com/firm/122156/similar
- Related entities: https://search.stillhousedata.com/firm/122156/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/122156

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.