NM
Nicholas E. Mock
BFC PLANNING
MINOT, ND 58701
Some features on this profile are disabled
CRD#: 5993579
NM
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 Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick E 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. FREEDOM FINANCIAL GROUP LLC-Y-Bismarck, ND-DBA FOR FINANCIAL SERVICES-Financial Professional, COO-7/2013-160-160-CASE DESIGN AND ADVISING. Financial Services/Planning. 2. HALLETT FINANCIAL GROUP-Y-1131 WESTRAC DRIVE, STE 208, FARGO, ND 58103-INSURANCE BROKERAGE HOUSE-INSURANCE REP-7/2013-160-160-INSURANCE CONSULTING, LIFE, LONGTERM CARE, VARIABLE LIFE & ANNUITY SALES. 3. MAGIC CITY HOLDINGS, LLC-N-MINOT, ND 58703-BUILDING OWNER, RENTAL UNITS-OWNER/MANAGER-9/12/2014-20-0-OWNS BUILDING, RENTS PART OF BUILDING & WILL BE MOVING INTO THE OTHER PORTION IN FUTURE 4. JMN Roots LLC-N-Minot ND-Property Management-Manager-05/2021-5-2-Manage property, collect rent, pay expenses, property maintenance, obtain financing. 5. Rental House- N- Minot, ND- Rental property- Owner- 11/2023- 0- 0- Rent out house to tenant. 6. Freedom Financial Group - Jamestown, LLC- Y- Minot, ND- Financial services- COO- 01/2024- 20- 0- LLC created to segregate the Jamestown business for financial tracking purposes. 7. Ethica Solutions LLC- N- Glenburn, ND- Transportation- Investor- 08/2024- 5- 0- Company investor and business consultant. 8. Freedom Financial Group Bismarck, LLC- Y- Bismarck, ND- Financial services- Manager- 02/2019- 2- 0- LLC created to segregate the Bismarck business for financial tracking purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Ernest 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®
NoneExperience
Current
July 22, 2013 - Present
BFC PLANNING, INC.
Office #1: 701 31st Ave Sw, Minot, ND 58701RIA
CRD#: 119682
MINOT, ND
Current
August 12, 2015 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 701 31st Avenue Sw, Minot, ND 58701RIA
BD
CRD#: 13609
Minot, ND
Past
March 19, 2012 - October 8, 2015
SUTTERFIELD FINANCIAL GROUP, INC.
RIA
CRD#: 115652
MINOT, ND
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".
BP
BFC PLANNING, INC.
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
CRD#: 119682 / SEC#: 801-67427
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Iowa
Registered Investment Advisory firm - (3/5/2007 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(8/12/2021)
RR
Alaska(9/16/2020)
RR
Arizona(2/24/2016)
RR
Arkansas(1/13/2021)
RR
California(11/16/2020)
RR
Colorado(10/21/2020)
RR
Connecticut(11/5/2025)
RR
Florida(6/2/2016)
RR
Georgia(11/16/2020)
RR
Hawaii(11/16/2020)
RR
Idaho(9/16/2020)
RR
Illinois(1/29/2019)
RR
Indiana(9/16/2020)
RR
Iowa(11/4/2024)
RR
Kansas(9/16/2020)
RR
Louisiana(1/13/2021)
RR
Maryland(11/16/2020)
RR
Massachusetts(1/2/2024)
RR
Michigan(11/16/2020)
RR
Minnesota(9/16/2020)
RR
Mississippi(11/16/2020)
RR
Missouri(11/16/2020)
RR
Montana(9/16/2020)
RR
Nebraska(9/16/2020)
RR
Nevada(9/16/2020)
RR
New Hampshire(1/15/2025)
RR
New Jersey(11/16/2020)
RR
New Mexico(1/13/2021)
RR
New York(9/16/2020)
RR
North Carolina(9/29/2020)
IAR
North Dakota(7/22/2013)
RR
North Dakota(9/10/2015)
RR
Ohio(9/16/2020)
RR
Oklahoma(9/16/2020)
RR
Oregon(11/16/2020)
RR
Pennsylvania(11/16/2020)
RR
South Carolina(11/16/2020)
RR
South Dakota(7/29/2016)
RR
Tennessee(9/11/2020)
RR
Texas(9/16/2020)
RR
Vermont(11/16/2020)
RR
Virginia(11/11/2020)
RR
Washington(9/16/2020)
RR
Wisconsin(11/16/2020)
RR
Wyoming(1/13/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BP
BFC PLANNING, INC.
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
CRD#: 119682 / SEC#: 801-67427
RIA
Registered Investment Advisory firm - (1/3/2007 Approved)Iowa
Registered Investment Advisory firm - (3/5/2007 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Mailing Address
Phone number
(319) 447-5700
Established
Firm type
Fiscal year end
# of Employees
200
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,756 |
| AUM (Assets Under Management) | $ 2,026,848,859 |
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.
