Unclaimed Profile

Richard Marshall Mock

PENNFIELD CAPITAL CORP·SOUTH BEND, Indiana

Series 7, Series 63Clean record23 years registeredPENNFIELD CAPITAL CORP

205 WEST JEFFERSON BLVD. - SUITE 400, SOUTH BEND, IN 46601CRD# 734387Firm CRD# 111464

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Marshall Mock · SOUTH BEND, IN

Registration

CRD #734387 · PENNFIELD CAPITAL CORP · 23 years registered

Brand Profile

Not yet started

Career History

PENNFIELD CAPITAL CORP

Jan 2008 – present

PENNFIELD CAPITAL CORP

Feb 2003 – Dec 2007

RIDGEFIELD, CT

TAYLOR HOUSE INVESTMENT MANAGEMENT, INC.

Feb 2003 – Dec 2008

NEW MILFORD, CT

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Registration record

First registered · February 13, 2003

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PENNFIELD CAPITAL CORP

CRD 111464 · SEC 801-35601

AUM

$32M

Regulatory assets under management

Employees

31 client accounts

Services offered by PENNFIELD CAPITAL CORP

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

View all advisors at PENNFIELD CAPITAL CORP →

Introduction

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Frequently Asked Questions

What services does Richard Marshall Mock offer?

Richard Marshall Mock specializes in Investment Management, Wealth Management. Contact their office in SOUTH BEND, Indiana for a consultation.

What are Richard Marshall Mock's credentials?

Richard Marshall Mock is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Marshall Mock located?

Richard Marshall Mock is based in SOUTH BEND, Indiana, working with PENNFIELD CAPITAL CORP. Their office serves clients in the SOUTH BEND metropolitan area and surrounding communities.

How does Richard Marshall Mock charge for services?

Richard Marshall Mock's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PENNFIELD CAPITAL CORP?

PENNFIELD CAPITAL CORP has approximately 1 employees and manages $32M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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