Douglas Mock, financial advisor Minneapolis MN
83 score

Douglas Mock

CRD Number: 1304366
Current Firm: Everest Financial Group

Douglas Mock (CRD# 1304366) is an Investment Advisor Representative working at Everest Financial Group in Minneapolis, MN and has over 35 years of experience in the finance industry.

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Company Name Location Dates Years
Securities America, Inc. Minneapolis, MN May 2006 - Current 11
Securities America Advisors, Inc. Minneapolis, MN May 2006 - Current 11
Douglas Mock - Tax Work Minneapolis, MN Jan 1981 - Current 37
Everbank Tallahasee, FL May 2006 - Jun 2015 9
Focus Financial Network, Inc. Roseville, MN May 1998 - Apr 2009 10
Fox College Funding San Diego, CA Oct 2006 - Dec 2008 2
First Mariner Bank Baltimore, MD Mar 2006 - Jan 2008 1
Douglas Mock - Real Estate Minnetonka, MN Jan 2006 - Jan 2008 2
Hunt'n Biz Minnetonka, MN Nov 2005 - Jan 2008 2
Douglas Mock Dba Diversified Wealth Management St. Louis Park, MN May 2006 - Oct 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1982
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Douglas M. Mock
Phone Number: 763-923-7525
Firm Website:
Registered State(s):
  • MN
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States


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