Erwin Hector Mock
Professional Summary
Erwin Hector Mock is a registered financial advisor currently at THOMA BRAVO CAPITAL MARKETS, LLC located in San Francisco, California. Erwin is registered as a RR (Registered Representative) and started their career in finance in 2005. Erwin has worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
THOMA BRAVO CAPITAL MARKETS, LLC
Contact Information
Main Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511Mailing Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511Phone Number
(312) 254-3300Established
Delaware since 09/21/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMA BRAVO ADVISERS, L.P. | MEMBER | — |
| ALPER, JENNIFER JAMES | PRINCIPAL, INVESTOR RELATIONS & MARKETING | 7309562 |
| KRZAK, ALEXANDER JACOB | PRINCIAL OPERATIONS OFFICER | 6349160 |
| MOCK, ERWIN HECTOR | PRINCIPAL, HEAD OF CAPITAL MARKETS | 4236454 |
| PORTNOFF, DAVID ROSS | FIN OP, PRINCIPAL FINANCIAL OFFICER | 2977967 |
| SCHWAB, STEVEN ANTHONY | SENIOR DIRECTOR, DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 4589027 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Mar 2021About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Erwin Hector Mock's CRS (Customer Relationship Summary).
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