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STANLEY QUION LEUNG MOK
STANLEY Q MOK
CRD#: 864314
IA
Investment Adviser
B
Broker
MOK CAPITAL MANAGEMENTCRD#: 110182 4962 EL CAMINO REAL #235
LOS ALTOS, CA 94022
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 4962 EL CAMINO REAL
SUITE 235
LOS ALTOS, CA 94022
Registration History
1980198519901995200020052010201520202025IAMOK CAPITAL MANAGEMENT (CRD# 110182)2012 - Present (12 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2013 - Present (12 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2005 - 2013 (7 years)BROUND HILL SECURITIES, INC. (CRD# 35223)1997 - 2005 (8 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 1997 (7 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1990 (1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1983 - 1988 (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1980 - 1983 (2 years)BPAINE, WEBBER, JACKSON & CURTI... (CRD# 8174)1980 - 1980 (<1 year)BPAINE, WEBBER, JACKSON & CURTI... (CRD# 640)1979 - 1980 (<1 year)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)2007 - 2011 (3 years)
License(s)

State Registrations

IA
California 6/5/2012

IA
Nevada 6/14/2012

B
California 2/26/2013

B
Nevada 2/26/2013

B
Connecticut 1/11/2016

B
Virginia 2/26/2013

B
Florida 2/26/2013

B
Washington 2/26/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MOK CAPITAL MANAGEMENT (CRD#:110182)
4962 EL CAMINO REAL #235, LOS ALTOS, CA 94022
Registered with this firm since 6/5/2012

B
PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
4962 EL CAMINO REAL SUITE 235, LOS ALTOS, CA 94022
Registered with this firm since 2/26/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/13/2005 - 02/21/2013 FIRST ALLIED SECURITIES, INC. (CRD#:32444) LOS ALTOS, CA
IA
11/21/2007 - 10/07/2011 FIRST ALLIED SECURITIES, INC. (CRD#:32444) LOS ALTOS, CA
B
04/03/1997 - 06/13/2005 ROUND HILL SECURITIES, INC. (CRD#:35223) ALAMO, CA
B
01/12/1990 - 04/03/1997 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
04/11/1988 - 02/05/1990 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
B
03/07/1983 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
05/20/1980 - 03/21/1983 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
01/31/1980 - 05/25/1980 PAINE, WEBBER, JACKSON & CURTIS INC. (CRD#:8174)
B
04/02/1979 - 01/31/1980 PAINE, WEBBER, JACKSON & CURTIS INCORPORATED (CRD#:640)
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Broker
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Investment Adviser
Disclosures
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