Spencer Ward Mock
Investment adviser representative at Charles Schwab & Co., Inc.
10 yearsExperience
1 stateRegistered in
$0Firm assets
39 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Fixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
Experience
10 years in the industry.
- Charles Schwab & Co., Inc.Sep 2024 to now
- Charles Schwab Bank, SsbSep 2024 to now
- Bank of America, N.A.Aug 2021 to Aug 2024
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2021 to Aug 2024
- T Rowe PriceFeb 2019 to Apr 2021
- UnemployedFeb 2018 to Feb 2019
- Berkshire Hathaway Homestate CompaniesJul 2017 to Feb 2018
- UnemployedMay 2017 to Jul 2017
- Pacific Life Insurance CompanyJun 2016 to May 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2016
- Series 66 · Uniform Combined State Law2021
State registrations
Registered as an investment adviser representative in 1 state (NE).
Charles Schwab & Co., Inc.
$0Assets managed
0Clients
6,777Advisers
39 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6667384
- Firm CRD
- 5393