Douglas Mock
Douglas Mock is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in Minneapolis, MN, with 41 years of industry experience. Douglas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
701 Xenia Ave S, Suite 250, Minneapolis, MN, 55416-1029
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 2013Other Business ActivitiesSells Insurance
Douglas is an insurance agent/owner selling annuities and life insurance, and also provides investment advisor advice through Everest Financial Group, LLC, taking about a quarter of his time. He also owns Doug Mock Tax Advisors, where he prepares tax returns and provides tax planning advice, and Tax and Retirement Resource Center, where he educates clients on financial topics related to retirement planning.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Everest Financial Group
Previous Registrations
Securities America, INC.Broker
Focus Financial Network, INC.
Royal Alliance Associates, INC.Broker
Sunamerica Securities, INC.Broker
Anchor National Financial Services, INC.Broker
Financial Network Investment CorporationBroker
First Pacific Capital CorporationBroker
Ltpc, LTD.Broker
Midland Management CORP.Broker
John G. Kinnard and Company, IncorporatedBroker
State Registrations15 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.