Erwin H. Mock
Professional summary
Erwin Hector Mock is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erwin Hector Mock's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 23, 2021 - Present
THOMA BRAVO CAPITAL MARKETS, LLC
Office #1: One Market Plaza Spear Tower, Suite 2400, San Francisco, CA 94105-1420August 17, 2011 - March 24, 2015
UBS SECURITIES LLC
December 8, 2009 - August 12, 2011
RBC CAPITAL MARKETS, LLC
February 15, 2005 - April 22, 2009
UBS SECURITIES LLC
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 7TO
Date: 5/10/2021
General Securities Representative ExaminationSeries 79TO
Date: 3/13/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
THOMA BRAVO CAPITAL MARKETS, LLC
CRD#: 311317 / SEC#: , 8-70612
Contact information
FINRA licenses (53 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 |
Red Flags
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