Michael Andrew Kock

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-03-25
WI	RA	APPROVED	2014-12-02

TX RA
APPROVED

Since 2026-03-25
WI RA
APPROVED

Since 2014-12-02

Branch Locations

406 Science Drive Suite 300, Madison, WI 53711 • 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

Organization	City	State	From	To
Commonwealth Financial Network	Waltham	MA	12/2014	Present

12/2014 → Present

Commonwealth Financial Network

Waltham, MA

Previous Registrations

2005-02-11 → 2014-12-22

First Heartland Consultants, Inc.

Fitchburg, WI

Madison, WI

Other Businesses

1. FIXED INSURANCE SALES; INVESMTENT RELATED; PERFORMED AT BRANCH 2. K+M ACRES; MANAGING MEMBER; NOT INVESMENT RELATED; NOT PERFORMED AT BRANCH 3. K CLUB LC; NOT PERFORMED AT BRANCH; MANAGING MEMBER; NOT INVESTMENT RELATED; NOT PERFORMED AT BRANCH 4. Co-owner of Camp Spike Buck II, LLC, entity established to own and operate a hunting cabin. Not investment related and not conducted at branch location.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-02-01
S63	Uniform Securities Agent State Law Examination	1999-07-14

S65 Uniform Investment Adviser Law Examination

2005-02-01
S63 Uniform Securities Agent State Law Examination

1999-07-14

Designations

Certified Financial Planner
Chartered Financial Consultant

Other Names

Mike Kock

View on SEC IAPD