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Current Employers
Mok Capital Management

4962 El Camino Real Ste. 235, Los Altos, CA 94022-1456 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-04-25
  • CA RA
    APPROVED
    Since 2016-04-25

Branch Locations

4962 El Camino Real Ste. 235, Los Altos, CA 94022-1456 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mok Capital Management Los Altos CA 07/2015 Present
Purshe Kaplan Sterling Investments Albany NY 06/2017 Present
  • 07/2015 → Present
    Los Altos, CA
  • 06/2017 → Present
    Purshe Kaplan Sterling Investments
    Albany, NY
Other Businesses

1) MOK CAPITAL MANAGEMENT INVESTMENT RELATED. 2962 EL CAMINO REAL SUITE 235. INVESTMENT ADVISOR. START 7/5. 160 HOURS/MONTH, 80 DURING TRADING. ASSIST STANLEY MOK WITH ANY HELP THAT HE NEEDS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-09-27
S65 Uniform Investment Adviser Law Examination 2015-08-31
  • S63 Uniform Securities Agent State Law Examination
    2017-09-27
  • S65 Uniform Investment Adviser Law Examination
    2015-08-31
Designations

View on SEC IAPD

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