Nicholas Ernest Mock
Professional Summary
Nicholas Ernest Mock, who also goes by Nick E Mock, is a registered financial advisor currently at BFC PLANNING, INC. located in Minot, North Dakota and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Minot, North Dakota. Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nicholas has worked at 3 firms and has passed the Series 63, Series 65, SIE and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nick E Mock
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
Contact Information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Phone Number
(319) 447-5700# of Employees
200SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
13,174AUM (Assets Under Management)
$3,841,196,599Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC. | GREAT LAKES BAY FINANCIAL | BFC PLANNING, INC. | BERTHEL FISHER & COMPANY PLANNING, INC. | BEDROCK INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
(8/12/2021)
(9/16/2020)
(2/24/2016)
(1/13/2021)
(11/16/2020)
(10/21/2020)
(11/5/2025)
(6/2/2016)
(11/16/2020)
(11/16/2020)
(9/16/2020)
(1/29/2019)
(9/16/2020)
(11/4/2024)
(9/16/2020)
(1/13/2021)
(11/16/2020)
(1/2/2024)
(11/16/2020)
(9/16/2020)
(11/16/2020)
(11/16/2020)
(9/16/2020)
(9/16/2020)
(9/16/2020)
(1/15/2025)
(11/16/2020)
(1/13/2021)
(9/16/2020)
(9/29/2020)
(7/22/2013)
(9/10/2015)
(9/16/2020)
(9/16/2020)
(11/16/2020)
(11/16/2020)
(11/16/2020)
(7/29/2016)
(9/11/2020)
(9/16/2020)
(11/16/2020)
(11/11/2020)
(9/16/2020)
(11/16/2020)
(1/13/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Ernest Mock's CRS (Customer Relationship Summary).
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