Brian Joseph Mock

Ip Financial Advisory Services LLC

23 Years of Experience

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Firm Information

Ip Financial Advisory Services LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Number of Advisors

118 advisors

Number of Clients

2,041 clients

Average Client Portfolio

$223K average

Assets Under Management

$456.1M

Fee Structure

Financial Planning:Investment management only

IP Financial Advisory Services LLC representatives may earn commission-based compensation for selling insurance products, which is separate from advisory fees. This presents a conflict of interest. They may also receive compensation from third-party investment advisors for recommending their services, creating another potential conflict of interest. The firm also provides actuarial and other consulting services for separate fees.

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Areas of Practice

Insurance Planning

Advisor Information

Office location

8251 W. Thunderbird Road, Ste: 140, Peoria, AZ, 85381

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Regulatory History (5)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Judgment / Lien

August 2019

Judgment / Lien

September 2016

Employment Separation After Allegations

October 2013

Judgment / Lien

June 2009

Customer Dispute

July 2008

Denied

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Other Business Activities

Brian prepares tax returns for clients at Mock and Associates, a tax and accounting firm. He is also a Registered Representative with Innovation Partners LLC.