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DANIEL CLAY BROCK
CRD#: 4069966
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 1429 QUINTARD AVENUE
ANNISTON, AL 36201
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 1429 QUINTARD AVENUE
ANNISTON, AL 36201
Registration History
20002002200420062008201020122014201620182020202220242026IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - Present (16 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2000 - Present (24 years)BSOUTHTRUST SECURITIES, INC. (CRD# 17922)2000 - 2000 (<1 year)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2000 - 2009 (8 years)
License(s)

State Registrations

B
Alabama 6/6/2000

B
Louisiana 1/6/2022

IA
Alabama 1/2/2009

B
Mississippi 4/26/2024

B
California 9/8/2023

B
Nevada 3/6/2017

B
Florida 9/5/2013

B
New York 8/23/2005

B
Georgia 1/3/2001

B
Ohio 9/7/2021

B
Iowa 1/3/2017

B
Pennsylvania 3/7/2014

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
1429 QUINTARD AVENUE, ANNISTON, AL 36201
Registered with this firm since 1/2/2009

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
1429 QUINTARD AVENUE, ANNISTON, AL 36201
Registered with this firm since 6/6/2000

Previous Registration(s)
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IA
08/04/2000 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) ANNISTON, AL
B
02/16/2000 - 06/08/2000 SOUTHTRUST SECURITIES, INC. (CRD#:17922) BIRMINGHAM, AL
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B
Broker
IA
Investment Adviser
Disclosures
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.