William C. Mock
KORHORN FINANCIAL GROUP
NAPPANEE, IN 46550
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CRD#: 4552029
Professional summary
William Carl Mock, CFP®, ChFC®, who also goes by William Carl Mock, is a registered financial advisor currently at KORHORN FINANCIAL GROUP located in Nappanee, Indiana.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. William has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Carl 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) Since 10/8/2013, have worked as a tax preparer at KFG Tax & Business Services, non investment related company, tax preparation firm, located at 6910 N. Main St., Building 16, Unit 41, Granger, IN. 46530. Duties include preparing tax returns. Spend approximately 10 hours per month at this business, all of the time during security trading hours. 2) Since 10/1/2013, have worked as an insurance agent at KFG Insurance Agency, non investment related company, insurance sales firm, located at 6910 N. Main St., Building 16, Unit 41, Granger, IN. 46530. Duties include presenting insurance alternatives, making recommendations, and selling insurance policies. Spend approximately 5 hours per month at this business, all of the time during security trading hours. 3) Since 10/8/2013, have worked at Korhorn Financial Group, Inc, Investment related, located at 6910 N. Main Street, Building 16 Unit 41, Granger, IN 46530. Parent company of Insurance, Tax and RIA LLCs, Position: employee and duties include assisting in the running of day to day operations, 180 hours per month, 140 hours spent per month during market hours. 4) Westgate Crossing Home Owners Association,Is Not Investment Related,,HOA,Treasurer,2022-05-01,2 hours per month,0 hours per month during trading hours,No Compensation Compensation,Treasurer for newly formed HOA 5) Elkhart United Aquatics,Is Not Investment Related,,Non-Profit Swim Club,Treasurer,2022-08-12,10 hours per month,0 hours per month during trading hours,No Compensation Compensation,Treasurer and board member for non-profit local swimming club. Monthly duties include working with outside accountant to facilitate financial recordkeeping and reporting to the governing board. Organization is not a broker-dealer or advisory client of William or Korhorn Financial Group. No investment related activity is engaged in by organization.
CRS (Client Relationship Summary) - RIA
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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: 2013
Experience
Current
January 7, 2022 - Present
KORHORN FINANCIAL GROUP
Office #1: 320 Dal Mar Way, Nappanee, IN 46550Office #2: 6910 North Main Street Building 16, Unit 41, Granger, IN 46530-8855RIA
CRD#: 128606
NAPPANEE, IN
Past
October 31, 2016 - September 7, 2022
SILVER OAK SECURITIES, INCORPORATED
BD
CRD#: 46947
Granger, IN
Past
October 24, 2013 - December 31, 2021
KORHORN FINANCIAL GROUP
RIA
CRD#: 128606
GRANGER, IN
Past
October 22, 2013 - August 1, 2016
SECURITIES AMERICA, INC.
BD
CRD#: 10205
GRANGER, IN
Past
July 23, 2002 - October 4, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MISHAWAKA, IN
Past
July 10, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 10, 2002 - October 4, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MISHAWAKA, IN
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".
KF
KORHORN FINANCIAL GROUP
KFG WEALTH MANAGEMENT, LLC | KORHORN FINANCIAL GROUP, INC. | KORHORN FINANCIAL GROUP
CRD#: 128606 / SEC#: 801-78914
RIA
Registered Investment Advisory firm - (1/2/2014 Approved)Florida
Registered Investment Advisory firm - (3/4/2014 Terminated)Indiana
Registered Investment Advisory firm - (3/4/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/6/2014 Terminated)Texas
Registered Investment Advisory firm - (3/4/2014 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.Highlighted states indicate IAR registrations
IAR
Indiana(1/7/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KF
KORHORN FINANCIAL GROUP
KFG WEALTH MANAGEMENT, LLC | KORHORN FINANCIAL GROUP, INC. | KORHORN FINANCIAL GROUP
CRD#: 128606 / SEC#: 801-78914
RIA
Registered Investment Advisory firm - (1/2/2014 Approved)Florida
Registered Investment Advisory firm - (3/4/2014 Terminated)Indiana
Registered Investment Advisory firm - (3/4/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/6/2014 Terminated)Texas
Registered Investment Advisory firm - (3/4/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6910 North Main Street Building 16, Unit 41, Granger, IN 46530-8855
Mailing Address
Phone number
(574) 247-5898
Established
Firm type
Fiscal year end
# of Employees
90
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,478 |
| AUM (Assets Under Management) | $ 934,546,730 |
Red Flags
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Company Information
KORHORN FINANCIAL GROUP
CRD#: 128606Nappanee, IN 46550TRUST BUT VERIFY
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