Nicholas Mock, financial advisor Minot ND
90 score

Nicholas Mock

CRD Number: 5993579
Current Firm: Bfc Planning, Inc.

Nicholas Mock (CRD# 5993579) is an Investment Advisor Representative working at Bfc Planning, Inc. in Minot, ND and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Berthel Fisher & Company Financial Services, Inc. Minot, ND Jul 2015 - Current 1
Berthel Fisher & Company, Planning Inc. Minot, ND Jul 2013 - Current 3
Sutterfield Financial Group, Inc. Minot, ND Jan 2011 - Jul 2013 2
University Of Nevada, Las Vegas Las Vegas, NV Aug 2007 - Dec 2010 3
Sutterfield Financial Group, Inc. Minot, ND May 2010 - Aug 2010 < 1
Minot State University Minot, ND Aug 2006 - May 2007 < 1
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Mar 2012
S63 Uniform Securities State Law Examination Sep 2015
Contact Info for Nicholas E. Mock
Phone Number: 319-447-5700
Registered State(s):
  • ND
By the Numbers
  • Total Assets Under Management
    226
    MILLIONS
  • Total Number of Accounts
    1,960
    ACCOUNTS
  • Average Account Value
    $115,102
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
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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