DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Kenneth Ernest Schmocker
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
7 y
since Feb 26, 2019
In the industry
50 y
since Feb 1, 1976 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Commonwealth Financial Network national BD currentsince Feb 26, 2019 · Mauston, Wi
- LPL Financial LLC BD affiliatedJul 24, 2013 to Feb 2, 2016 · Mauston, Wi
- Advantage Investment Management, LLC formerMar 10, 2009 to Feb 26, 2019 · Lacrosse, Wi
- Schmocker Financial Services Inc unclassifiedSep 17, 2001 to May 11, 2009 · Lacrosse, Wi
- Walnut Street Advisers Inc unclassifiedJul 20, 2001 to Jun 20, 2003 · Lacrosse, Wi
Moves
a registration end followed by a registration begin elsewhere
- Advantage Investment Management, LLC to LPL Financial LLCleft Feb 26, 2019, registered Jul 24, 2013 (-2043 days) · Other
- LPL Financial LLC to Commonwealth Financial Networkleft Feb 2, 2016, registered Feb 26, 2019 (1120 days) · Other
- Schmocker Financial Services Inc to Advantage Investment Management, LLCleft May 11, 2009, registered Mar 10, 2009 (-62 days) · Other
- Walnut Street Advisers Inc to Schmocker Financial Services Incleft Jun 20, 2003, registered Sep 17, 2001 (-641 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 50derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address