Spencer Ward Mock

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
NE	RA	APPROVED	2024-09-13

Branch Locations

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

Organization	City	State	From	To
Pacific Life Insurance Company	Omaha	NE	06/2016	05/2017
T Rowe Price	Owings Mills	MD	02/2019	04/2021
Berkshire Hathaway Homestate Companies	Omaha	NE	07/2017	02/2018
Unemployed	Omaha	NE	05/2017	07/2017
Unemployed	Gettysburg	PA	02/2018	02/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Hunt Valley	MD	05/2021	08/2024
Bank Of America, N.A.	Hunt Valley	MD	08/2021	08/2024
Charles Schwab & Co., Inc.	Omaha	NE	09/2024	Present
Charles Schwab Bank, Ssb	Omaha	NE	09/2024	Present

06/2016 → 05/2017

Pacific Life Insurance Company

Omaha, NE
02/2019 → 04/2021

T Rowe Price

Owings Mills, MD
07/2017 → 02/2018

Berkshire Hathaway Homestate Companies

Omaha, NE
05/2017 → 07/2017

Unemployed

Omaha, NE
02/2018 → 02/2019

Unemployed

Gettysburg, PA
05/2021 → 08/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD
08/2021 → 08/2024

Bank Of America, N.A.

Hunt Valley, MD
09/2024 → Present

Charles Schwab & Co., Inc.

Omaha, NE
09/2024 → Present

Charles Schwab Bank, Ssb

Omaha, NE

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-06-28
S63	Uniform Securities Agent State Law Examination	2016-09-02

Other Firms