Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Mok has been in the financial services industry since 1980. Charles is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Prior to that, Charles worked at UBS FINANCIAL SERVICES INC. in MENLO PARK, CA. Charles holds multiple securities licenses and certifications, including the Series 3, 5, 7, and 63. Charles is also a registered Investment Advisor. Charles is a registered representative in Arizona, California, District of Columbia, Maryland, Nevada, New York, Texas, and Washington.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/15/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALO ALTO CA)
CA
10/28/1980 - 05/21/2009
UBS FINANCIAL SERVICES INC. (MENLO PARK CA)
IA
Issued 10/25/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/1983
Series 3 - National Commodity Futures Examination
BC
Issued 10/09/1981
Series 5 - Interest Rate Options Examination
BC
Issued 10/18/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Charles Mok is the right advisor for you? Invested Better is here to help.
