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Kenneth Ernest Schmocker

Commonwealth Financial Network

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About Kenneth Ernest Schmocker

Kenneth Ernest Schmocker is a financial advisor with over 30 years of experience in the industry. Kenneth currently works for Commonwealth Financial Network and has also held positions at LPL Financial, National Planning Corporation, Walnut Street Securities, Financial Network Investment Corporation, Fahnestock & Co., Inc., B.C. Christopher Securities Co., and Morison Securities, Inc. Kenneth has a range of licenses and qualifications including Series 6, 7, 22, 24, 26 and 63. Kenneth is a Chartered Financial Consultant. Kenneth Schmocker provides services such as financial planning, pension consulting, educational seminars, portfolio management for individuals, portfolio management for businesses, and selection of other advisors.

Firm Information

Kenneth Schmocker is currently registered with Commonwealth Financial Network. Commonwealth Financial Network is an Approved Limited Liability Company formed in August 2017 and headquartered in Waltham, Massachusetts. The firm provides financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses and individuals, and other advisory services. They have a presence in all 50 states, as well as in Puerto Rico and the Virgin Islands. The firm manages approximately $177 billion in regulatory assets under management and has a large network of licensed agents, investment adviser representatives, registered representatives, and investment advisory functions. They cater to various client types, including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and state or municipal government entities.
Commonwealth Financial Network

29 SAWYER ROAD

WALTHAM, MA 02453-3483

$177.03B

Assets Under Management

19,600

Total Clients

3,791

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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pension consulting services

Guidance on pension options to ensure a secure financial future.

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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 businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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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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commissions

Earned based on transactions or products sold.

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percentage of assets

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

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Kenneth Schmocker’s Registration & Firm History

WI

02/26/2019 - Present

Commonwealth Financial Network (Mauston WI)

WI

07/31/2012 - 03/14/2019

LPL FINANCIAL LLC (LA CROSSE WI)

WI

06/02/2003 - 07/31/2012

NATIONAL PLANNING CORPORATION (LA CROSSE WI)

CA

11/29/2000 - 06/05/2003

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

CA

01/02/1992 - 11/29/2000

FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)

NY

03/23/1990 - 12/31/1991

FAHNESTOCK & CO., INC. (NEW YORK NY)

MO

12/23/1988 - 03/23/1990

B.C. CHRISTOPHER SECURITIES CO. (KANSAS CITY MO)

NA

08/13/1985 - 12/23/1988

MORISON SECURITIES, INC.

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Licenses & Designations

BC

Issued 08/12/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/19/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/1990

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/16/2000

Series 7 - General Securities Representative Examination

BC

Issued 10/10/1986

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 08/12/1985

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kenneth Ernest Schmocker.
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