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Richard Marshall Mock

Pennfield Capital Corp

South Bend, IN

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Current Employers
Pennfield Capital Corp

202 South Michigan Street - Suite 325, South Bend, IN 46601 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2010-05-07
CT RA APPROVED 2008-01-04
  • IN RA
    APPROVED
    Since 2010-05-07
  • CT RA
    APPROVED
    Since 2008-01-04

Branch Locations

202 South Michigan Street - Suite 325, South Bend, IN 46601 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pennfield Capital Corp Ridgefield CT 02/1990 Present
Pennfield Capital Corp Ridgefield CT 02/1990 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-06-29
  • S63 Uniform Securities Agent State Law Examination
    1982-06-29
Other Names
  • Richard Marshall Mock

View on SEC IAPD

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