Chakkin T. Mok
Professional summary
Chakkin Tony Mok was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Chakkin is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Chakkin had worked at 4 firms, which includes CETERA INVESTMENT ADVISERS LLC, CETERA FINANCIAL SPECIALISTS LLC, HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES INC., HOCHMAN & BAKER SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2004 - December 14, 2011
CETERA INVESTMENT ADVISERS LLC
June 30, 2004 - October 14, 2014
CETERA FINANCIAL SPECIALISTS LLC
August 30, 2001 - October 29, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
November 6, 2000 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
