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Brett A Mock

Park Avenue Securities LLC

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About Brett A Mock

Brett Mock is a financial advisor with Park Avenue Securities LLC, a firm that has been serving clients for many years. Brett Mock is a Certified Financial Planner and has a combined experience of 8 years in the financial industry. Brett Mock is registered to provide financial advice and services in 24 states. Brett Mock specializes in providing financial planning services, educational seminars, and portfolio management for both businesses and individuals.

Firm Information

Brett Mock is currently registered with Park Avenue Securities LLC. Park Avenue Securities LLC is a Limited Liability Company registered in the state of New York and has been operating since August 20, 1998. They provide financial planning and portfolio management services to individuals, high net worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and captive insurance clients. The firm has a nationwide reach with registered offices in 53 states and the District of Columbia.
Park Avenue Securities LLC

10 HUDSON YARDS

NEW YORK, NY 10001

$11.88B

Assets Under Management

38,141

Total Clients

2,244

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Brett Mock’s Registration & Firm History

IN

08/25/2023 - Present

Park Avenue Securities LLC (INDIANAPOLIS IN)

IN

06/11/2021 - 09/29/2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Carmel IN)

IN

03/09/2015 - 06/01/2021

CHARLES SCHWAB & CO., INC. (Indianapolis IN)

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Licenses & Designations

BOTH

Issued 06/07/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/16/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/09/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Brett A Mock. Review regulatory record here.
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