Brian Mock
Brian Mock is a registered investment advisor at Ip Financial Advisory Services LLC, based in Peoria, AZ, with 24 years of industry experience. Brian operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 4 more. Their firm serves 2,041 clients with $460M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IP Financial Advisory Services offers managed account programs where clients pay a fee for portfolio management. Representatives customize investment portfolios based on the client's risk tolerance and investment objectives, monitoring performance and rebalancing as needed. The firm has full discretion over client accounts, but clients can set restrictions. The minimum initial investment is negotiable.
Location
8251 W. Thunderbird Road, Ste: 140, Peoria, AZ, 85381
Get directionsHistory
Regulatory History (5)
Judgment / Lien
August 2019Judgment / Lien
September 2016Employment Separation After Allegations
October 2013Judgment / Lien
June 2009Customer Dispute
July 2008Other Business Activities
Brian prepares tax returns for clients at Mock and Associates, a tax and accounting firm. He is also a Registered Representative with Innovation Partners LLC.
Employment History
Current Registrations
Ip Financial Advisory Services LLC
Innovation Partners LLC
Innovation Partners LLCBroker
Previous Registrations
Innovation Partners LLC
Scf Investment Advisors, INC.
Scf Securities, INC.Broker
Jonathan Roberts Advisory Group, INC.
J.W. Cole Financial, INC.Broker
World Group Securities, INC.Broker
World Group Securities, INC.Broker
Wma Securities, INC.Broker
State Registrations2 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.