Brock Cooper

Brock has 25 years of experience in the financial services industry in sales, support, supervision and compliance capacities, the last 18 coming in various capacities on the compliance side of the business. He has developed a deep understanding of the independent and dual-registrant models as well as wholesale insurance, retirement and bank distributions. He has studied regulations and developed policies and procedures across all aspects of the business to comply with those rules and regulations. Brock's combination of experiences in sales, sales support and supervision provides a unique ability to bridge the communication gap that often exists between the sales, supervision, compliance, technology and audit functions of a firm. Brock currently makes his home in Des Moines, Iowa, spending whatever free time he musters with Dana, his wife of 25 years; his 3 year old son Noah; and extended family and friends enjoying sports, the outdoors, and all that the Midwest has to offer.

1e. BD/IA – Assessing and Managing Firm Risk with Insurance Coverage (Intermediate)