Douglas M. Mock
EVEREST FINANCIAL GROUP
Minneapolis, MN 55416-1029
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CRD#: 1304366
Professional summary
Douglas Miles Mock, CFP®, who also goes by Doug Mock, is a registered financial advisor currently at EVEREST FINANCIAL GROUP located in Minneapolis, Minnesota and OSAIC WEALTH, INC. located in Minneapolis, Minnesota.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Douglas has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Mock
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.
DOES NOT HAVE A NAME POSITION: agent NATURE: INSURANCE SALES - AGENT/OWNER - INVESTMENT RELATED - START DATE: 05/2005 - LOCATED AT 701 XENIA AVE S, SUITE 250, MINNEAPOLIS, MN 55416 - 5% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 5 START DATE: 05/01/2005 ADDRESS: 701 Xenia Ave So, golden valley MN 55416 DESCRIPTION: Sell Annuities and Life insurance TRRC - TAX AND RETIREMENT RESOURCE CENTER POSITION: founder NATURE: 2) Tax and Retirement Resource Center - CONSULTANT - LOCATED IN GOLDEN VALLEY, MN - BEGINNING JANUARY 2010 - 10% TIME SPENTI am changing the name from Retirement Resource Center to Tax and Retirement Resource Center. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2010 ADDRESS: 701 Xenia Ave So, Suite 250, Golden Valley MN 55416 DESCRIPTION: Educate prospects and clients on financial topics related to retirement planning. Topics are Social Security planning, Medicare, Taxes in Retirement, Deferred Compensation, Roth conversions, etc. Investments may be mentioned in a generic sense EVEREST FINANCIAL GROUP POSITION: advisor NATURE: 3) EVEREST FINANCIAL GROUP, LLC - RIA ADVISOR - 30% TIME SPENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 25 START DATE: 10/24/2007 ADDRESS: 701 Xenia Ave So #250, Golden Valley MN 55416 DESCRIPTION: Provide investment advisor advice. DOUG MOCK TAX ADVISORS POSITION: Owner NATURE: 4)- TAX PREPARER - 10% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 01/25/2017 ADDRESS: 701 Xenia Ave So., Suite 250, Golden Valley MN 55416 DESCRIPTION: Prepare and supervise the preparation of personal, estate and business income tax returns. Provide tax planning advice and tax planning strategies. WEALTH MANAGEMENT GROUP POSITION: agent NATURE: 5) INSURANCE SALES - AGENT/OWNER - INVESTMENT RELATED - START DATE: 05/2005 - LOCATED AT 701 XENIA AVE S, SUITE 250, MINNEAPOLIS, MN 55416 - 20% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 05/01/2005 ADDRESS: 701 Xenia Ave So, Suite 250, Ste 250, Golden Valley MN 55416 DESCRIPTION: Sell Annuities and Life insurance
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Miles Mock's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
January 31, 2014 - Present
EVEREST FINANCIAL GROUP
Office #1: 701 Xenia Ave S Suite 250, Minneapolis, MN 55416-1029RIA
CRD#: 137260
Minneapolis, MN
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 701 Xenia Ave S Ste 250, Minneapolis, MN 55416RIA
BD
CRD#: 23131
MINNEAPOLIS, MN
Past
May 1, 2006 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MINNEAPOLIS, MN
Past
August 3, 2005 - December 31, 2006
FOCUS FINANCIAL
RIA
CRD#: 116140
MINNEAPOLIS, MN
Past
June 22, 1998 - May 5, 2006
OSAIC WEALTH, INC.
BD
CRD#: 23131
MINNEAPOLIS, MN
Past
May 19, 1992 - June 30, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 28, 1991 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
January 2, 1991 - May 6, 1991
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
June 13, 1990 - December 31, 1990
FIRST PACIFIC CAPITAL CORPORATION
BD
CRD#: 21042
Past
July 14, 1986 - June 29, 1990
AAM SECURITIES, INC.
BD
CRD#: 15383
Past
July 8, 1985 - July 22, 1986
MIDLAND MANAGEMENT CORP.
BD
CRD#: 6677
Past
September 25, 1984 - July 9, 1985
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
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".
EF
EVEREST FINANCIAL GROUP
EVEREST FINANCIAL GROUP | SINCERE FINANCIAL LTD | EVEREST FINANCIAL GROUP LLC
CRD#: 137260 / SEC#: 801-67635
RIA
Registered Investment Advisory firm - (3/30/2007 Approved)California
Registered Investment Advisory firm - (5/8/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/14/2024)
RR
Arizona(6/14/2024)
RR
Arkansas(6/14/2024)
RR
California(6/14/2024)
RR
Florida(6/14/2024)
RR
Idaho(6/14/2024)
RR
Kentucky(6/14/2024)
RR
Michigan(8/19/2024)
IAR
Minnesota(1/31/2014)
RR
Minnesota(6/14/2024)
RR
Oregon(6/14/2024)
IAR
Texas(9/28/2017)
RR
Texas(6/14/2024)
RR
Utah(6/14/2024)
RR
Washington(6/14/2024)
RR
Wisconsin(6/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EF
EVEREST FINANCIAL GROUP
EVEREST FINANCIAL GROUP | SINCERE FINANCIAL LTD | EVEREST FINANCIAL GROUP LLC
CRD#: 137260 / SEC#: 801-67635
RIA
Registered Investment Advisory firm - (3/30/2007 Approved)California
Registered Investment Advisory firm - (5/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
701 Xenia Ave S Suite 250, Minneapolis, MN 55416-1029
Mailing Address
Phone number
(763) 923-7525
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,667 |
| AUM (Assets Under Management) | $ 912,366,781 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
