Peter N. Bock

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CRD#: 1295728

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Peter Neale Bock, who also goes by Peter N Bock, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1984. Peter had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peter N Bock

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 21, 2014 - December 31, 2020

DEMARS FINANCIAL GROUP LLC

RIA

CRD#: 116257

SPOKANE, WA

Past

August 30, 2012 - November 12, 2013

DEMARS FINANCIAL GROUP LLC

RIA

CRD#: 116257

SPOKANE, WA

Past

August 30, 2012 - November 6, 2013

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

SPOKANE, WA

Past

April 1, 2008 - September 4, 2012

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SPOKANE, WA

Past

April 1, 2008 - September 4, 2012

FSC SECURITIES CORPORATION

CRD#: 7461

SPOKANE, WA

Past

January 1, 2004 - April 10, 2008

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

SPOKANE, WA

Past

January 1, 2004 - April 10, 2008

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SPOKANE, WA

Past

February 27, 2002 - January 1, 2004

LOCUST STREET SECURITIES, INC.

RIA

CRD#: 1703

SPOKANE, WA

Past

December 18, 1998 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

September 28, 1984 - December 31, 1996

EQUITABLE VARIABLE LIFE INSURANCE COMPANY

CRD#: 6907

NEW YORK, NY

Past

September 28, 1984 - December 10, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

September 28, 1984 - December 10, 1998

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DEMARS FINANCIAL GROUP LLC

CRD#: 116257 / SEC#: 801-112885

RIA

Registered Investment Advisory firm - (4/19/2018 Approved)

Alaska

Registered Investment Advisory firm - (4/30/2018 Terminated)

Arizona

Registered Investment Advisory firm - (4/27/2018 Terminated)

Idaho

Registered Investment Advisory firm - (4/27/2018 Terminated)

Oregon

Registered Investment Advisory firm - (5/25/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/27/2018 Terminated)

Utah

Registered Investment Advisory firm - (4/27/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/4/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/1/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/30/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DEMARS FINANCIAL GROUP LLC

CRD#: 116257 / SEC#: 801-112885

RIA

Registered Investment Advisory firm - (4/19/2018 Approved)

Alaska

Registered Investment Advisory firm - (4/30/2018 Terminated)

Arizona

Registered Investment Advisory firm - (4/27/2018 Terminated)

Idaho

Registered Investment Advisory firm - (4/27/2018 Terminated)

Oregon

Registered Investment Advisory firm - (5/25/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/27/2018 Terminated)

Utah

Registered Investment Advisory firm - (4/27/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/4/2018 Terminated)

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Contact information

Main Address

420 N Evergreen Ste 300, Spokane Valley, WA 99216

Mailing Address

Phone number

(509) 536-9556

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DEMARS FINANCIAL GROUP LLC FORM ADV PART 2A AND 2B (6/28/2025)

Regulatory assets under management

Total Number of Accounts	461
AUM (Assets Under Management)	$ 291,269,164

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Peter N. Bock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DEMARS FINANCIAL GROUP LLC

CROWN CAPITAL SECURITIES, L.P.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

EQUITABLE VARIABLE LIFE INSURANCE COMPANY

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

DEMARS FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/1999

Series 63

Date: 9/7/1984

Series 7

Date: 7/1/1999

Series 6

Date: 8/30/1984

Current Firm

DEMARS FINANCIAL GROUP LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DEMARS FINANCIAL GROUP LLC

TRUST BUT VERIFY

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