Stanley C. Mock
ON INVESTMENT MANAGEMENT CO
BOISE, ID 83703
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CRD#: 337375
Professional summary
Stanley Clyde Mock, CFP®, who also goes by Stan Mock, Stanley C Mock, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Boise, Idaho and THE O.N. EQUITY SALES COMPANY located in Boise, Idaho.
Stanley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Stanley has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stan Mock | Stanley C 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.
1)INSURANCE SALES; NOT INVESTMENT RELATED; 3601 N LAKE HARBOR LANE BOISE ID 83703; INSURANCE SALES; AGENT; 09/01/1969 TO PRESENT; 1 OR 2 HOURS PER MONTH; SALE AND SERVICE OF LONG TERM ARE, LIFE INSURANCE AND FIXED ANNUITIES.
CRS (Client Relationship Summary) - RIA
Click below to view Stanley Clyde 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
April 23, 2007 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 3601 N Lakeharbor Lane, Boise, ID 83703RIA
CRD#: 105662
BOISE, ID
Current
January 3, 1979 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 3601 N Lakeharbor Ln, Boise, ID 83703BD
CRD#: 2936
Boise, ID
Past
May 16, 1972 - January 7, 1979
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
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".
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 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(4/3/2024)
RR
Alaska(1/26/2011)
RR
Arizona(2/7/2013)
IAR
Arizona(1/15/2021)
RR
California(5/30/2006)
RR
Colorado(8/14/2012)
RR
Florida(1/6/2021)
RR
Georgia(11/17/2015)
RR
Idaho(11/8/1981)
IAR
Idaho(4/23/2007)
RR
Iowa(9/30/2021)
RR
Montana(3/19/2013)
RR
Nevada(8/8/2007)
RR
Oregon(2/26/1986)
RR
Texas(7/29/2021)
RR
Washington(3/7/1986)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/4/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371
Phone number
(855) 262-0913
Established
Firm type
Fiscal year end
# of Employees
3,193
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
