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 is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 5 more. Their firm serves 575,512 clients with $230B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers several investment management programs where fees are charged as an annual percentage of your portfolio, typically billed monthly or quarterly. Because individual financial professionals negotiate their own fee schedules and programs vary by platform, exact rates depend on the specific account type and manager selected.
- Advisor Managed Portfolios and Unified Managed Account Programs — Fees vary based on negotiations with your financial professional and the specific asset allocation models or third-party managers chosen.
- Plan Participant Retirement Program — Annual management fees charge up to 3.00% of your account assets, structured as a fixed percentage or a tiered fee schedule.
- Program Annuities — Annual advisory fees for managing outside annuities will not exceed 1.50% of program assets for new accounts.
Account minimums vary widely by program, ranging from $5,500 to $10,000 for certain automated or platform accounts, while other programs depend on the specific investment product or third-party manager.
Location
701 Xenia Ave S, Suite 250, Minneapolis, MN, 55416-1029
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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.
Exams
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