TrueAdvisor
TrueAdvisor
KS
ChFC
KS
ChFC

Kenneth Schmocker

Commonwealth Financial Network
41 Years of Experience
Mauston, WI
BrokerSells Insurance
View SEC Summary
View SEC Summary

Kenneth Schmocker is a ChFC-designated registered investment advisor at Commonwealth Financial Network, based in Mauston, WI, with 41 years of industry experience. Kenneth is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

N4982 Hwy 58 Mauston, Mauston, WI, 53948

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Kenneth sells fixed insurance products and co-owns rental property with family. He also owns Schmocker Financial Services Inc. to facilitate securities, advisory, and insurance business, dedicating nearly full-time hours to it.

Employment History
Current Registrations
Commonwealth Financial NetworkBroker
February 2019 - Present · 7 yrs 8 mos
Commonwealth Financial Network
February 2019 - Present · 7 yrs 8 mos
Previous Registrations
LPL Financial LLC
July 2013 - February 2016 · 2 yrs 7 mos
LPL Financial LLCBroker
July 2012 - March 2019 · 6 yrs 8 mos
Advantage Investment Management, LLC
March 2009 - February 2019 · 9 yrs 11 mos
National Planning CorporationBroker
June 2003 - July 2012 · 9 yrs 1 mo
Schmocker Financial Services INC
September 2001 - May 2009 · 7 yrs 8 mos
Walnut Street Advisers INC
July 2001 - June 2003 · 1 yr 11 mos
Walnut Street Securities, INC.Broker
November 2000 - June 2003 · 2 yrs 7 mos
Financial Network Investment CorporationBroker
January 1992 - November 2000 · 8 yrs 10 mos
Fahnestock & CO., INC.Broker
March 1990 - December 1991 · 1 yr 9 mos
B.C. Christopher Securities CO.Broker
December 1988 - March 1990 · 1 yr 3 mos
Morison Securities, INC.Broker
August 1985 - December 1988 · 3 yrs 4 mos
State Registrations35 states
ARAZCACODCFLGAIAIDILINKSMAMDMIMNMOMTNCNDNENVNYOHOKORPASCTNTXUTVAWAWIWY
AdvisorBrokerBoth

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
No exam information available for this advisor.
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