Brett F. Mock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brett Fielding Mock, who also goes by Brett F Mock, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1996. Brett had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2021 - February 25, 2026
NPM SECURITIES, LLC
December 16, 2013 - June 26, 2017
JONESTRADING
April 4, 2006 - December 10, 2013
BTIG, LLC
August 27, 2003 - April 6, 2006
WELLS FARGO SECURITIES, LLC
April 10, 1998 - April 22, 2003
BANC OF AMERICA SECURITIES LLC
September 26, 1996 - April 13, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
NPM SECURITIES, LLC
CRD#: 168469 / SEC#: , 8-69312
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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