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Cathleen Susan Brock is a financial advisor professional located in Fort Walton Beach, FL. They specialize in financial advisory. With over 32 years of experience, they bring deep expertise to every client.
Cathleen Susan Brock - Wells Fargo Clearing Services, Llc holds an active professional license (FINRA CRD) for your protection.
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Cathleen Susan Brock operates as a financial advisor through Wells Fargo Clearing Services, LLC, based in Fort Walton Beach, Florida. With 32 years in the financial services industry, she brings substantial experience to client relationships. Her work is registered under FINRA CRD license number 2201765, which governs her activities in securities and investment advisory services at the federal level.
A FINRA CRD (Central Registration Depository) license indicates that Cathleen Susan Brock is registered with the Financial Industry Regulatory Authority, the self-regulatory organization overseeing brokers and investment professionals. This registration means she meets federal compliance standards and is subject to FINRA rules and ongoing supervision. Clients working with a FINRA-registered advisor have access to dispute resolution through FINRA's arbitration process and can verify her registration status through the public FINRA BrokerCheck database.