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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

KENNETH ALAN BOCK

Advisor at MUTUAL ADVISORS, LLC

Thousand Oaks, CA | OMAHA, NE

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Search this name across graphsid dfx:ria:7fa572c2-8028-b479-de6c-39c8d0bd360d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 24, 2002 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: MUTUAL ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 29, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Aug 29, 1998
First registration: Jul 24, 2002
Dual registered: yes, broker-dealer
Other names: KEN BOCK
IAPD individual key: 3068881

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
MUTUAL ADVISORS, LLC	Bd affiliated wealth	Jun 1, 2022	n/a	yes	Thousand Oaks, CA\|OMAHA, NE	Current employment
PROFESSIONAL PLANNING	Former SEC adviser	Jul 28, 2009	Aug 24, 2022	no	THOUSAND OAKS, CA	Previous registration
WEALTHCARE ALLIANCE, INC.	Former SEC adviser	Sep 17, 2003	Jul 20, 2009	no	THOUSAND OAKS, CA	Previous registration
WEALTH CARE PLANNING	n/a	Jul 24, 2002	Jan 15, 2004	no	THOUSAND OAKS, CA	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
PROFESSIONAL PLANNING	MUTUAL ADVISORS, LLC	Aug 24, 2022	Jun 1, 2022	-84	Firm change after gap	RIA to ibd
WEALTHCARE ALLIANCE, INC.	PROFESSIONAL PLANNING	Jul 20, 2009	Jul 28, 2009	8	Firm change	Other
WEALTH CARE PLANNING	WEALTHCARE ALLIANCE, INC.	Jan 15, 2004	Sep 17, 2003	-120	Firm change after gap	Other

Relationships

Registered with (4)

→ MUTUAL ADVISORS, LLCRegistered adviserregistration: current employment
Jun 1, 2022 to presentfactForm ADV
→ PROFESSIONAL PLANNINGRegistered adviserregistration: previous registration
Jul 28, 2009 to Aug 24, 2022factForm ADV
→ WEALTHCARE ALLIANCE, INC.Registered adviserregistration: previous registration
Sep 17, 2003 to Jul 20, 2009factForm ADV
→ WEALTH CARE PLANNINGRegistered adviserregistration: previous registration
Jul 24, 2002 to Jan 15, 2004factForm ADV

Dated events

Occurred
Aug 24, 2022
Advisor changed firm
Kenneth Alan Bock left Professional Planning for Mutual Advisors, Llc (registered 2022-06-01)
Form ADVobserved 6 days ago