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RH

Robert W. Hock

PLANNED FINANCIAL PROGRAMS
Melville, NY 11747-2216
Some features on this profile are disabled
CRD#: 1835457
RH

Professional summary

Robert Walter Hock is a registered financial professional currently at PLANNED FINANCIAL PROGRAMS, INC. located in Melville, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 27, Series 53, Series 4, Series 39 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Robert Walter Hock's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 14, 2017 - Present

PLANNED FINANCIAL PROGRAMS, INC.

Office #1: 734 Walt Whitman Road, Melville, NY 11747-2216
BD
CRD#: 3049
Melville, NY
Past

August 2, 2010 - January 5, 2016

LINCOLN INVESTMENT

BD
CRD#: 519
HOPEWELL JUNCTION, NY
Past

February 15, 2005 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

BD
CRD#: 36451
HOPEWELL JUNCTION, NY
Past

January 7, 1997 - December 31, 2004

PMG ASSET MANAGEMENT INC

RIA
CRD#: 110825
NEW YORK, NY
Past

November 26, 1990 - February 15, 2005

PMG SECURITIES CORPORATION

BD
CRD#: 27107
ELGIN, IL
Past

December 16, 1988 - October 14, 1989

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY

State Registrations and Notice Filings

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

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
California
(9/4/2025)
RR
New York
(12/14/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/4/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/2/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1989
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/15/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/27/1996
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/8/1991
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/24/1991
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 2/15/1991
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/29/1990
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PLANNED FINANCIAL PROGRAMS, INC.
PLANNED FINANCIAL PROGRAMS | PLANNED FINANCIAL PROGRAMS, INC.

CRD#: 3049 / SEC#: , 8-5727

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
734 Walt Whitman Road, Melville, NY 11747-2216
Mailing Address
734 Walt Whitman Road, Melville, NY 11747-2216
Phone number
(631) 423-8800
Established
New York since 08/05/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOCK, ROBERT WALTERPRESIDENT/ VP/CHIEF COMPLIANCE OFFICER/TREASURER1835457

Disclosures

Regulatory Event1

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.

Company Information

PLANNED FINANCIAL PROGRAMS, INC.

CRD#: 3049Melville, NY 11747-2216

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