DEPARTMENT OF INSURANCE
Affiliations
NameBrock, Richard JDOIID514728NAIC NPN1053336
License - Line of Authority Information
StatusResidencyClassLine of AuthorityActive DateInactive DateLicense Expiration Date
ActiveNon ResidentAgentVariable Life and Variable Annuities7/8/2011 2/28/2025
ActiveNon ResidentAgentLife12/27/2000 2/28/2025
ActiveNon ResidentAgentHealth7/8/2011 2/28/2025
* If a status Is Pending, Pending Replacement,Or the record displays Affidavit On File, click On them For more details.
Notice: The Department verifies, at the time of application for a Variable Life and Variable Annuity line of authority, that an agent is registered with the Financial Industry Regulatory Authority (FINRA) and the applicant has passed the Series 6 or greater exam. The Department does not verify registration with FINRA after the agent is qualified by the Department to receive the Variable Life and Variable Annuity line of authority. If you have questions about a broker’s FINRA registration status, you should check this status directly with FINRA.

License Renewal Information
ClassInvoice DateResponse Due / Expiration DateResponse Received DatePayment Received DateRenewal Complete
Agent12/15/202402/28/2025   
Appointments with the following Insurers
StatusAffiliation NameDOI NumberLine of AuthorityActive DateInactive Date
ActiveAllianz Life Insurance Company of North America301791Agent - Life2/19/2021 
ActiveAllianz Life Insurance Company of North America301791Agent - Variable Life and Variable Annuities2/19/2021 
ActiveGuardian Insurance & Annuity Company Inc. (The)301920Agent - Life4/15/2022 
InactiveJohn Hancock Life Insurance Company (U.S.A.)300132Agent - Health7/11/201211/19/2017
InactiveJohn Hancock Life Insurance Company (U.S.A.)300132Agent - Life7/11/201211/19/2017
InactiveJohn Hancock Life Insurance Company (U.S.A.)300132Agent - Variable Life and Variable Annuities7/11/201211/19/2017
ActiveMassachusetts Mutual Life Insurance Company300445Agent - Life1/26/2022 
ActiveMetropolitan Life Insurance Company301948Agent - Life6/23/2021 
ActiveMidland National Life Insurance Company300923Agent - Life9/24/2020 
ActiveMinnesota Life Insurance Company300488Agent - Life6/24/2011 
ActiveNorth American Company for Life and Health Insurance300291Agent - Life12/10/2014 
ActivePenn Insurance and Annuity Company300712Agent - Life8/9/2017 
ActivePenn Mutual Life Insurance Company301394Agent - Life8/9/2017 
InactivePruco Life Insurance Company300954Agent - Life11/26/200112/23/2014
InactivePrudential Insurance Company of America300784Agent - Life11/26/200112/23/2014
InactiveTransamerica Occidental Life Insurance Company300966Agent - Life12/27/20004/28/2004
InactiveWest Coast Life Insurance Company301607Agent - Life9/10/20021/28/2004
Designated to act on behalf of the following Business Entities
StatusAffiliation NameDOI NumberLine of AuthorityActive DateInactive Date
ActiveGbs Insurance And Financial Services, Inc571372Agent - Life4/26/2024 
DeniedGbs Insurance And Financial Services, Inc571372Agent - Health  
ActiveOsaic Wealth, Inc.399326Agent - Life8/28/2024 
PendingOsaic Wealth, Inc.399326Agent - Health  
ActiveOsaic Wealth, Inc.399326Agent - Variable Life and Variable Annuities8/28/2024 

© Commonwealth of Kentucky. All rights reserved.