Donald D. Mock
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.
Donald Duane Mock was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1986. Donald had worked at 12 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2012 - June 22, 2012
SCF INVESTMENT ADVISORS, INC.
February 3, 2012 - June 22, 2012
SCF SECURITIES, INC.
January 14, 2010 - December 22, 2011
J.W. COLE FINANCIAL, INC.
December 23, 2009 - December 22, 2011
J. W. COLE ADVISORS, INC.
April 12, 2002 - October 5, 2009
WORLD GROUP SECURITIES, INC.
August 31, 1999 - April 12, 2002
WMA SECURITIES, INC.
May 13, 1997 - October 3, 1997
UNITED PACIFIC SECURITIES, INC.
November 15, 1990 - May 8, 1995
FIDELITY EQUITY SERVICES CORPORATION
March 11, 1989 - December 14, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 1, 1988 - April 20, 1989
SOURCE SECURITIES, INC.
February 5, 1987 - March 8, 1988
SECURITIES NETWORK, INC.
October 8, 1986 - February 25, 1987
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
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.
