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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-06-10 |
| CO | RA | APPROVED | 2026-06-10 |
| FL | RA | APPROVED | 2026-06-10 |
| HI | RA | APPROVED | 2026-06-10 |
| IL | RA | APPROVED | 2026-06-10 |
| MD | RA | APPROVED | 2026-06-10 |
| MI | RA | APPROVED | 2026-06-10 |
| NJ | RA | APPROVED | 2026-06-10 |
| OK | RA | APPROVED | 2026-06-10 |
| OR | RA | APPROVED | 2026-06-10 |
| NY | RA | APPROVED | 2025-12-17 |
| WV | RA | APPROVED | 2025-12-05 |
| ME | RA | APPROVED | 2025-12-03 |
| OH | RA | APPROVED | 2025-11-06 |
| VA | RA | APPROVED | 2025-09-19 |
| NC | RA | APPROVED | 2025-04-04 |
| PA | RA | APPROVED | 2024-09-17 |
| MA | RA | APPROVED | 2024-06-10 |
| WA | RA | APPROVED | 2023-08-25 |
| KS | RA | APPROVED | 2022-10-11 |
| IN | RA | APPROVED | 2022-10-07 |
Branch Locations
9000 Keystone Crossing Suite 300, Indianapolis, IN 46240 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab | Indianapolis | IN | 09/2014 | 05/2021 |
| Brett A Mock Esq | Indianapolis | IN | 07/2015 | 05/2021 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2021 | 09/2022 |
| Northwestern Mutual Investment Services Llc | Zionsville | IN | 06/2021 | 09/2022 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 10/2021 | 09/2022 |
| Guardian Life Insurance Company | Indianapolis | IN | 09/2022 | Present |
| Park Avenue Securities | Indianapolis | IN | 10/2022 | Present |
1. Brett Mock Legal Services- Owner, Address: 5216 E 71st St, Indianapolis, IN 46220, Start date: 05/11/2016, 4 hours per month/ 0 during trading hours, Non Investment Related Less than 10% Annual Compensation, 2. Valparaiso University Customer Experience Program Advisory Board, Start Date: 6/15/2023, Address: 1700 Chapel Dr., Valparaiso, IN 46383, 1 total hour per month; 0 during securities trading hours, Not Investment Related, No Annual Compensation, 3. Apex Financial Strategies, LLC, Start Date: 1/16/2025, Address: 9000 Keystone Crossing, Ste. 300, Indianapolis, IN 46240, 0 total hours per month; 0 during securities trading hours, Investment Related, No Annual Compensation,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-07 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-16 |
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