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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)50 years in industry

KENNETH ERNEST SCHMOCKER

Advisor at COMMONWEALTH FINANCIAL NETWORK

Mauston, WI | Onalaska, WI

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Search this name across graphsid dfx:ria:1048b76d-13a8-aaa5-1e98-0a4631e2bbc4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 20, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: COMMONWEALTH FINANCIAL NETWORK
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 1976earliest registration or exam on IAPD
Years in industry: 50derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S63
First exam: Aug 12, 1985
First registration: Jul 20, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1388354

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Feb 26, 2019	n/a	yes	Mauston, WI\|Onalaska, WI	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 24, 2013	Feb 2, 2016	no	MAUSTON, WI\|LA CROSSE, WI\|SAN DIEGO, CA\|LA CROSSE, WI\|MAUSTON, WI	Previous registration
ADVANTAGE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 10, 2009	Feb 26, 2019	no	LACROSSE, WI	Previous registration
SCHMOCKER FINANCIAL SERVICES INC	n/a	Sep 17, 2001	May 11, 2009	no	LACROSSE, WI	Previous registration
WALNUT STREET ADVISERS INC	n/a	Jul 20, 2001	Jun 20, 2003	no	LACROSSE, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVANTAGE INVESTMENT MANAGEMENT, LLC	LPL FINANCIAL LLC	Feb 26, 2019	Jul 24, 2013	-2,043	Firm change after gap	Other
LPL FINANCIAL LLC	COMMONWEALTH FINANCIAL NETWORK	Feb 2, 2016	Feb 26, 2019	1,120	Firm change after gap	Other
SCHMOCKER FINANCIAL SERVICES INC	ADVANTAGE INVESTMENT MANAGEMENT, LLC	May 11, 2009	Mar 10, 2009	-62	Firm change after gap	Other
WALNUT STREET ADVISERS INC	SCHMOCKER FINANCIAL SERVICES INC	Jun 20, 2003	Sep 17, 2001	-641	Firm change after gap	Other

Relationships

Registered with (5)

→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: current employment
Feb 26, 2019 to presentfactForm ADV
→ ADVANTAGE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 10, 2009 to Feb 26, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 24, 2013 to Feb 2, 2016factForm ADV
→ SCHMOCKER FINANCIAL SERVICES INCRegistered adviserregistration: previous registration
Sep 17, 2001 to May 11, 2009factForm ADV
→ WALNUT STREET ADVISERS INCRegistered adviserregistration: previous registration
Jul 20, 2001 to Jun 20, 2003factForm ADV

Dated events

No dated event names this entity yet.