Douglas Miles Mock

Current Employers

Employment History

• 01/1981 → Present
  Doug Mock Tax Advisors
  Minneapolis, MN
• 05/2006 → 06/2024
  Securities America, Inc.
  Minneapolis, MN
• 05/2006 → 06/2024
  Securities America Advisors, Inc.
  Minneapolis, MN
• 06/2024 → Present
  Osaic Wealth, Inc.
  Minneapolis, MN

Previous Registrations

• 2005-08-03 → 2006-12-31
  Focus Financial
  Minneapolis, MN

Other Businesses

1. DOES NOT HAVE A NAME POSITION: agent NATURE: INSURANCE SALES - AGENT/OWNER - INVESTMENT RELATED - START DATE: 05/2005 - LOCATED AT 701 XENIA AVE S, SUITE 250, MINNEAPOLIS, MN 55416 - 5% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 5 START DATE: 05/01/2005 ADDRESS: 701 Xenia Ave So, golden valley MN 55416 DESCRIPTION: Sell Annuities and Life insurance 2. TRRC - TAX AND RETIREMENT RESOURCE CENTER POSITION: founder NATURE: 2) Tax and Retirement Resource Center - CONSULTANT - LOCATED IN GOLDEN VALLEY, MN - BEGINNING JANUARY 2010 - 10% TIME SPENTI am changing the name from Retirement Resource Center to Tax and Retirement Resource Center. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2010 ADDRESS: 701 Xenia Ave So, Suite 250, Golden Valley MN 55416 DESCRIPTION: Educate prospects and clients on financial topics related to retirement planning. Topics are Social Security planning, Medicare, Taxes in Retirement, Deferred Compensation, Roth conversions, etc. Investments may be mentioned in a generic sense 3. DOUG MOCK TAX ADVISORS POSITION: Owner NATURE: 4)- TAX PREPARER - 10% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 01/25/2017 ADDRESS: 701 Xenia Ave So., Suite 250, Golden Valley MN 55416 DESCRIPTION: Prepare and supervise the preparation of personal, estate and business income tax returns. Provide tax planning advice and tax planning strategies. 4. TRRC - TAX AND RETIREMENT RESOURCE CENTER POSITION: founder NATURE: 2) Tax and Retirement Resource Center - CONSULTANT - LOCATED IN GOLDEN VALLEY, MN - BEGINNING JANUARY 2010 - 10% TIME SPENTI am changing the name from Retirement Resource Center to Tax and Retirement Resource Center. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2010 ADDRESS: 701 Xenia Ave So, Suite 250, Golden Valley MN 55416, United States DESCRIPTION: Educate prospects and clients on financial topics related to retirement planning. Topics are Social Security planning, Medicare, Taxes in Retirement, Deferred Compensation, Roth conversions, etc,Investments may be mentioned in a generic sense 5. EVEREST FINANCIAL GROUP POSITION: advisor NATURE: 3) EVEREST FINANCIAL GROUP, LLC - RIA ADVISOR - 50% TIME SPENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 25 START DATE: 10/24/2007 ADDRESS: 701 Xenia Ave So #250, Golden Valley MN 55416, United States DESCRIPTION: Provide investment advisor advice and enter trades for clients 6. WEALTH MANAGEMENT GROUP POSITION: agent NATURE: 5) INSURANCE SALES - AGENT/OWNER - INVESTMENT RELATED - START DATE: 05/2005 - LOCATED AT 701 XENIA AVE S, SUITE 250, MINNEAPOLIS, MN 55416 - 20% TIME SPENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 05/01/2005 ADDRESS: 701 Xenia Ave So, Suite 250, Ste 250, Golden Valley MN 55416, United States DESCRIPTION: Sell Annuities and Life insurance

Exams

• S63 Uniform Securities Agent State Law Examination
  1982-11-22

Designations

Other Names

• Doug Mock