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Detailed Report
KENNETH ALAN BOCK
KEN BOCK
CRD#: 3068881
IA
Investment Adviser
B
Broker
MUTUAL ADVISORS, LLCCRD#: 167658 100 E. Thousand Oaks Blvd.
Ste. 161
Thousand Oaks, CA 91360
MUTUAL SECURITIES, INC.CRD#: 13092 100 E. Thousand Oaks Blvd.
Ste. 161
THOUSAND OAKS, CA 91360
Registration History
199820002002200420062008201020122014201620182020202220242026IAMUTUAL ADVISORS, LLC (CRD# 167658)2022 - Present (2 years)BMUTUAL SECURITIES, INC. (CRD# 13092)2009 - Present (15 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2001 - 2009 (8 years)BFINANCIAL WEST GROUP (CRD# 16668)1998 - 2001 (2 years)IAPROFESSIONAL PLANNING (CRD# 109561)2009 - 2022 (13 years)IAMUTUAL SECURITIES, INC. (CRD# 13092)2009 - 2010 (1 year)IAWEALTHCARE ALLIANCE, INC. (CRD# 127470)2003 - 2009 (5 years)IAWEALTH CARE PLANNING (CRD# 111797)2002 - 2004 (1 year)
License(s)

State Registrations

B
California 6/23/2009
IA
Texas 2/2/2023
IA
California 6/1/2022
B
Washington 9/17/2024
B
Florida 9/26/2013

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MUTUAL ADVISORS, LLC (CRD#:167658)
100 E. Thousand Oaks Blvd. Ste. 161, Thousand Oaks, CA 91360
Registered with this firm since 6/1/2022
B
MUTUAL SECURITIES, INC. (CRD#:13092)
100 E. Thousand Oaks Blvd. Ste. 161, THOUSAND OAKS, CA 91360
Registered with this firm since 6/23/2009
Previous Registration(s)
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IA
 07/28/2009 - 08/24/2022 PROFESSIONAL PLANNING (CRD#:109561) THOUSAND OAKS, CA
IA
 06/24/2009 - 12/31/2010 MUTUAL SECURITIES, INC. (CRD#:13092) THOUSAND OAKS, CA
IA
 09/17/2003 - 07/20/2009 WEALTHCARE ALLIANCE, INC. (CRD#:127470) THOUSAND OAKS, CA
B
 03/13/2001 - 06/29/2009 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) WESTLAKE VILLAGE, CA
IA
 07/24/2002 - 01/15/2004 WEALTH CARE PLANNING (CRD#:111797) THOUSAND OAKS, CA
B
 08/20/1998 - 03/13/2001 FINANCIAL WEST GROUP (CRD#:16668)
FINRA expelled the firm on 02/13/2020
RENO, NV
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.