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Debora Faulkner Mock

Wells Fargo Clearing Services, LLC

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About Debora Faulkner Mock

Debora Mock is an investment professional with over 20 years of experience in the financial services industry. Debora is currently registered as a Registered Representative and Investment Advisor Representative with Wells Fargo Clearing Services, LLC. Debora has held previous positions at Morgan Stanley, Citigroup Global Markets Inc., and Wachovia Securities, LLC.

Firm Information

Debora Mock is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Debora Mock’s Registration & Firm History

CA

09/01/2017 - Present

Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)

CA

06/01/2009 - 09/05/2017

MORGAN STANLEY (LOS ANGELES CA)

CA

11/12/2004 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (IRVINE CA)

MO

07/01/2003 - 11/23/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

07/16/1998 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 08/01/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/22/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/14/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/13/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/10/2009

Series 31 - Futures Managed Funds Examination

BC

Issued 07/08/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Debora Faulkner Mock.
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