Stanley Quion Leung Mok

Current Employers

Mok Capital Management

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

Current Registrations

Authority	Category	Status	Date
OR	RA	APPROVED	2026-01-13
NV	RA	APPROVED	2012-06-14
CA	RA	APPROVED	2012-06-05

OR RA
APPROVED

Since 2026-01-13
NV RA
APPROVED

Since 2012-06-14
CA RA
APPROVED

Since 2012-06-05

Branch Locations

4962 El Camino Real #235, Los Altos, CA 94022 • 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

Organization	City	State	From	To
Mok Capital Management	Los Altos	CA	03/1997	Present
Purshe Kaplan Sterling Investments	Albany	NY	02/2013	Present

03/1997 → Present

Mok Capital Management

Los Altos, CA
02/2013 → Present

Purshe Kaplan Sterling Investments

Albany, NY

Previous Registrations

2007-11-21 → 2011-10-07

First Allied Securities, Inc.

Los Altos, CA

Other Businesses

1. MOK CAPITAL MANAGEMENT. RIA. INVESTMENT RELATED. PRESIDENT. 4962 EL CAMINO REAL SUITE 235, LOS ALTOS, CA 94022. INVESTMENT MANAGER OF STOCK AND BOND PORTFOLIOS. 80 HRS/MO. INVESTMENT ADVISOR. 1a. Purshe Kaplan Sterling Investments. Investment related. Registered Representative. 3 hours per month. 18 Corporate Woods Blvd., Albany, NY 12211. Annuities, Brokerage. 1 hour per month 2. TOWN OF LOS ALTOS HILLS PARKS AND REC COMMITTEE. MEMBER. NOT INVESTMENT RELATED26379 Fremont Road, Los Altos Hills, CA. 94022 2 hours per month 2a. Town of Los Altos Hills, Former Mayor, Current City Council Member. Not investment related. 16 hours per month. 3. Insurance (Fixed). Not investment related. 4962 El Camino Real, Suite 235 Los Altos, CA 94022. Insurance. Start 3/1997. .5 hours/month, 0 during trading, Term insurance, long term care & disability. 4. Los Altos Office Corp. Not investment related. 4962 El Camino Real, Suite 235, Los Altos, CA 94022. Office Condo Association, Secretary, 4/2010, 4 hours/month, 0 hrs during trading hrs, maintenance, management, ongoing support of buildings 5. Rental Properties. Not investment related. 4962 El Camino Real, Suite 235, Los Altos, CA 94022. Property Rental. Owner. Start 01/2000. 1 hour per month not during trading. Maintenance, collect rents, pay bills.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-08-31
S63	Uniform Securities Agent State Law Examination	1980-10-30

S65 Uniform Investment Adviser Law Examination

1992-08-31
S63 Uniform Securities Agent State Law Examination

1980-10-30

Other Names

Stanley Q Mok

View on SEC IAPD