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Richard Marshall Mock

PENNFIELD CAPITAL CORP·SOUTH BEND, Indiana
Clean recordPENNFIELD 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
Brand Profile
Not yet started
Disclosure history
Clean record · no disclosure events on file
01

About

Richard Marshall Mock is a registered financial advisor based in SOUTH BEND, Indiana, affiliated with PENNFIELD CAPITAL CORP. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Investment Management
Wealth Management
Client Types
Individuals
Introduction

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03

Firm Overview

Firm
PENNFIELD CAPITAL CORP
PENNFIELD CAPITAL CORP
AUM
$32M
Regulatory assets under management
Employees
1
Total firm employees
View all advisors at PENNFIELD CAPITAL CORP →
Services
Portfolio management (individuals)
Selection of other advisers
04

Background

Compensation
Percentage of AUM
Hourly charges
Regulatory
SEC/IARD CRD# 734387
Firm CRD# 111464
View on FINRA BrokerCheck →

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05

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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