Stanley Q. Mok
Professional summary
Stanley Quion Leung Mok, who also goes by Stanley Q Mok, is a registered financial advisor currently at MOK CAPITAL MANAGEMENT located in Los Altos, California and PURSHE KAPLAN STERLING INVESTMENTS located in Los Altos, California.
Stanley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Stanley has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 5, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stanley Quion Leung Mok's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2012 - Present
MOK CAPITAL MANAGEMENT
Office #1: 4962 El Camino Real #235, Los Altos, CA 94022February 26, 2013 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 4962 El Camino Real Suite 235, Los Altos, CA 94022November 21, 2007 - October 7, 2011
FIRST ALLIED SECURITIES, INC.
June 13, 2005 - February 21, 2013
FIRST ALLIED SECURITIES, INC.
April 3, 1997 - June 13, 2005
ROUND HILL SECURITIES, INC.
January 12, 1990 - April 3, 1997
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - February 5, 1990
LEHMAN BROTHERS INC.
March 7, 1983 - April 11, 1988
E. F. HUTTON & COMPANY INC
May 20, 1980 - March 21, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 1980 - May 25, 1980
UBS FINANCIAL SERVICES INC.
April 2, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/5/2012)
(2/26/2013)
(1/11/2016)
(6/14/2012)
(2/26/2013)
(2/26/2013)
(2/26/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 10/9/1981
Interest Rate Options ExaminationFINRA
Current Firm
MOK CAPITAL MANAGEMENT
CRD#: 110182 / SEC#: 801-68939
Contact information
Regulatory assets under management
| Total Number of Accounts | 176 |
| AUM (Assets Under Management) | $ 55,014,130 |
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.
Company Information
MOK CAPITAL MANAGEMENT
CRD#: 110182Los Altos, CA 94022TRUST BUT VERIFY
Monitor Stanley Mok
Get automatic monthly alerts on:
