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CFP

Brett Mock

Park Avenue Securities LLC
11 Years of Experience
Indianapolis, IN
1 DisclosureBroker
View SEC Summary
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Brett Mock is a CFP-designated registered investment advisor at Park Avenue Securities LLC, based in Indianapolis, IN, with 11 years of industry experience. Brett is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 82,118 clients with $20B in assets under management.

Park Avenue Securities LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1914 advisors
Number of Clients
82,118 clients
Average Client Portfolio
$238K average
Assets Under Management
$19.6B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.05%
$500K - $1000K2.00%
$1.0M - $2.0M1.95%
$2M+1.90%

Schedule reflects the maximum client fee for the Park Avenue Portfolio Select program. Other wrap fee and third-party programs have varying fee schedules with advisor fees ranging from 0.50% to 1.75% plus platform and manager fees.

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

Location

9000 Keystone Crossing, Suite 300, Indianapolis, IN, 46240

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2022
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brett owns Brett Mock Legal Services since 2016, dedicating minimal time. He also serves on the Valparaiso University Customer Experience Program Advisory Board and is associated with Apex Financial Strategies, LLC.

Employment History
Current Registrations
Park Avenue Securities LLCBroker
October 2022 - Present · 4 yrs
Park Avenue Securities LLC
October 2022 - Present · 4 yrs
Previous Registrations
Northwestern Mutual Investment Services,llc
June 2021 - September 2022 · 1 yr 3 mos
Northwestern Mutual Investment Services, LLCBroker
June 2021 - September 2022 · 1 yr 3 mos
Schwab Private Client Investment Advisory, INC.
July 2016 - June 2021 · 4 yrs 11 mos
Charles Schwab & CO., INC.
June 2016 - July 2016 · 1 mo
Charles Schwab & CO., INC.Broker
March 2015 - June 2021 · 6 yrs 3 mos
State Registrations32 states
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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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