Richard Mokosak has been President & Chief Compliance Officer of Mokosak Advisory Group since September 2008, is a control person of the firm and directly owns between 50% and 75% of it.
Mokosak Advisory Group, LLC is an Urbandale, IA firm with $414M under management, 490 clients and 4 advisers in one office, as of its February 2026 filing.
Richard Mokosak’s longest registration was 12 years at Cambridge Investment Research Advisors, Inc. (2005–2017). Before joining Mokosak Advisory Group in 2017, Richard Mokosak was registered through Bellwether Financial Advisors and Cambridge Investment Research Advisors, Inc.
- Mokosak Advisory Group, LLCCurrent– present · 9 yearsUrbandale, IA · Adviser representative · Firm CRD 287538
- Bellwether Financial Advisors– · under a yearUrbandale, IA · Adviser representative · Firm CRD 128225
- Cambridge Investment Research Advisors, Inc.– · 12 yearsWest Des Moines, IA · Adviser representative · Firm CRD 134139
- Cambridge Investment Reserarch, Inc.– · under a yearUrbandale, IA · Adviser representative · Firm CRD 39543
- American Express Financial Advisors, Inc.– · 5 yearsWest Des Moines, IA · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Richard Mokosak is registered as an investment adviser representative in 2 states. Each was approved in June 2017.
- IowaSince 6 June 2017
- TexasSince 6 June 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 4 December 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 October 1994 |
| Series 7 | General Securities Representative Examination | 4 October 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Frank Mokosak
- CRD
- 2520987
- Firm
- Mokosak Advisory Group · CRD 287538
- Role
- President & Chief Compliance Officer
- Office
- 2900 100TH STREET SUITE 102, Urbandale, IA 50322
- Registration
- Investment adviser registration
- In the industry since
- October 1994
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Mokosak work?
Richard Mokosak has been President & Chief Compliance Officer of Mokosak Advisory Group, LLC since September 2008, and is a control person of the firm.
Is Richard Mokosak a financial advisor?
Yes. Richard Mokosak has a current investment-adviser registration in Iowa and Texas, through Mokosak Advisory Group since June 2017.
How many years of experience does Richard Mokosak have?
Richard Mokosak has 32 years in the financial industry, since October 1994, across 5 adviser firms.
What exams has Richard Mokosak passed?
Richard Mokosak has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in October 1994. FINRA credited Richard Mokosak with the SIE, which began in October 2018.
Where did Richard Mokosak work before Mokosak Advisory Group?
Before Mokosak Advisory Group, Richard Mokosak was registered through Cambridge Investment Reserarch, Inc., August 2004 to March 2005; American Express Financial Advisors, Inc., January 1999 to August 2004.
Where is Richard Mokosak based?
Richard Mokosak’s registered office is in Urbandale, IA.
Is Richard Mokosak registered with FINRA?
No. Richard Mokosak has no current broker registration.
How can I verify Richard Mokosak’s record?
Search CRD 2520987 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Mokosak’s full registration record.