Douglas Miles Mock

CFP

Osaic Wealth, INC.

41 Years of Experience

1 DisclosureBrokerSells Insurance

View SEC Summary

Areas of Practice

Retirement PlanningEducation PlanningEstate PlanningInvestment Management

Osaic Wealth, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

9179 advisors

Number of Clients

574,829 clients

Average Client Portfolio

$348K average

Assets Under Management

$200.3B

Fee Structure

Minimum Investment:$5.5K

Financial Planning:Investment management only

Location

701 Xenia Ave S, Suite 250, Minneapolis, MN, 55416-1029

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History

Regulatory History (1)

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Customer Dispute

December 2013

Award / Judgment

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Other 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

June 2024 - Present · 1 yr 8 mos

Everest Financial Group

January 2014 - Present · 12 yrs 1 mo

Previous Registrations

Securities America, INC.Broker

May 2006 - June 2024 · 18 yrs 1 mo

Focus Financial Network, INC.

August 2005 - December 2006 · 1 yr 4 mos

Royal Alliance Associates, INC.Broker

June 1998 - May 2006 · 7 yrs 11 mos

Sunamerica Securities, INC.Broker

May 1992 - June 1998 · 6 yrs 1 mo

Anchor National Financial Services, INC.Broker

June 1991 - May 1992 · 11 mos

Financial Network Investment CorporationBroker

January 1991 - May 1991 · 4 mos

First Pacific Capital CorporationBroker

June 1990 - December 1990 · 6 mos

Ltpc, LTD.Broker

July 1986 - June 1990 · 3 yrs 11 mos

Midland Management CORP.Broker

July 1985 - July 1986 · 1 yr

John G. Kinnard and Company, IncorporatedBroker

September 1984 - July 1985 · 10 mos

State Registrations14 states

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.