Brett F. Mock
Professional summary
Brett Fielding Mock, who also goes by Brett F Mock, is a registered financial professional currently at NPM SECURITIES, LLC located in New York, New York.
Brett is registered as a RR (Registered Representative) and started their career in finance in 1996. Brett has 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) - BD
Click below to view Brett Fielding Mock's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2021 - Present
NPM SECURITIES, LLC
Office #1: 3 East 28th Street 7th Floor, New York, NY 10016December 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 ExamFINRA
Current 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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