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DENNIS BROCK ASHBY
BROCK ASHBY
CRD#: 1253758
IA
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MOMENTUM INDEPENDENT NETWORK INC.CRD#: 17587 21555 Provincial Blvd
Katy, TX 77450
Katy, TX 77450
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12/4/2015
Customer Dispute
Closed-No Action
State Registrations
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Colorado 9/16/2021
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Texas 11/13/2017
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Texas 11/13/2017
SRO Registrations
B
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Registered with this firm since 11/13/2017
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Registered with this firm since 11/13/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/14/2010 - 01/02/2018 | KATY, TX | |
B | 11/09/2009 - 11/09/2017 | KATY, TX | |
IA | 10/21/2005 - 11/12/2009 | HOUSTON, TX | |
B | 10/21/2005 - 11/12/2009 | HOUSTON, TX | |
IA | 01/29/1998 - 11/08/2005 | HOUSTON, TX | |
B | 01/27/1998 - 11/08/2005 | ST. PETERSBURG, FL | |
B | 09/01/1994 - 02/09/1998 | DALLAS, TX | |
B | 02/22/1991 - 08/17/1994 | ST. LOUIS, MO | |
B | 04/04/1989 - 02/27/1991 | NEW YORK, NY | |
B | 03/11/1987 - 04/11/1989 | ||
B | 04/18/1984 - 03/24/1987 |
KATY, TX
11/09/2009 - 11/09/2017
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.