EM
Elizabeth E. Mock-hernandez
WATERLOO CAPITAL
AUSTIN, TX 78746
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CRD#: 4806931
EM
Professional summary
Elizabeth Evette Mock-hernandez, who also goes by Elizabeth E. Mock, is a registered financial advisor currently at WATERLOO CAPITAL located in Austin, Texas.
Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Elizabeth has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elizabeth E. Mock
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.
Enterprises International
Address: Austin, TX
Nature of the Business: Business Owner
Position/Title: Proprietor/Owner
Investment Related:No
Start Date: 08/06/2012
Hours per month devoted to this business: 10
Hours per month devoted to this business during trading hours: 0
Description of duties: Spanish translation.
MABACARE
PRESIDENT
SOCIAL IMPACT PLATFORM
SINCE 06/2020
2HRS PER WEEK
NOT INVESTMENT RELATED
ABUNDANT LIFE FOUNDATION
BOARD MEMBER
NON-PROFIT - SERVICE IN HONDURAS
SINCE 08/2017
NOT INVESTMENT RELATED
INSURANCE LICENSED.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Evette Mock-hernandez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 5, 2020 - Present
WATERLOO CAPITAL
Office #1: 2801 Via Fortuna Suite 250, Austin, TX 78746RIA
CRD#: 133705
AUSTIN, TX
Past
June 22, 2017 - May 7, 2020
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
AUSTIN, TX
Past
May 19, 2017 - May 30, 2017
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
AUSTIN, TX
Past
May 19, 2017 - May 7, 2020
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
AUSTIN, TX
Past
October 2, 2009 - May 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AUSTIN, TX
Past
October 2, 2009 - May 22, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AUSTIN, TX
Past
April 26, 2005 - October 14, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AUSTIN, TX
Past
April 8, 2005 - October 14, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
AUSTIN, TX
Past
August 6, 2004 - March 1, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT
CRD#: 133705 / SEC#: 801-63975
RIA
Registered Investment Advisory firm - (3/11/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(6/5/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT
CRD#: 133705 / SEC#: 801-63975
RIA
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Contact information
Main Address
2801 Via Fortuna Suite 250, Austin, TX 78746
Mailing Address
Phone number
(512) 777-5900
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,775 |
| AUM (Assets Under Management) | $ 1,686,618,820 |
Red Flags
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