Richard M. Mock

PENNFIELD CAPITAL CORP

South Bend, IN 46601

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CRD#: 734387

Professional summary

Richard Marshall Mock MR., who also goes by Richard Marshall Mock, is a registered financial advisor currently at PENNFIELD CAPITAL CORP located in South Bend, Indiana.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Richard has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Marshall 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Marshall Mock MR.'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®

None

Experience

Current

January 4, 2008 - Present

PENNFIELD CAPITAL CORP

Office #1: 205 West Jefferson Blvd. - Suite 400, South Bend, IN 46601

RIA

CRD#: 111464

South Bend, IN

Past

January 4, 2008 - December 31, 2007

PENNFIELD CAPITAL CORP

RIA

CRD#: 111464

RIDGEFIELD, CT

Past

February 25, 2003 - December 31, 2007

PENNFIELD CAPITAL CORP

RIA

CRD#: 111464

RIDGEFIELD, CT

Past

February 13, 2003 - December 31, 2008

TAYLOR HOUSE INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 112794

NEW MILFORD, CT

Past

February 11, 1992 - September 10, 1993

NORTHEAST SECURITIES, LLC

CRD#: 25996

Past

July 20, 1981 - February 17, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Connecticut
(1/4/2008)

IAR

Indiana
(5/7/2010)

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.

Exams

State Security Law Exam

Series 63

Date: 6/29/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/1981

General Securities Representative Examination

Current Firm

PENNFIELD CAPITAL CORP

CRD#: 111464 / SEC#: 801-35601

RIA

Registered Investment Advisory firm - (6/15/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (6/4/2012 Approved)

Indiana

Registered Investment Advisory firm - (3/12/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

205 West Jefferson Blvd. - Suite 400, South Bend, IN 46601

Mailing Address

Phone number

(574) 968-9010

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 68,808,336

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.

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Richard M. Mock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Marshall Mock MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

PENNFIELD CAPITAL CORP

PENNFIELD CAPITAL CORP

PENNFIELD CAPITAL CORP

TAYLOR HOUSE INVESTMENT MANAGEMENT, INC.

NORTHEAST SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/1982

Series 7

Date: 7/18/1981

Current Firm

PENNFIELD CAPITAL CORP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PENNFIELD CAPITAL CORP

TRUST BUT VERIFY

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