Elizabeth Evette Mock-Hernandez

Investment Adviser Representative at WATERLOO CAPITAL

PURCHASE, NYCRD #4806931Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

22 yrs

States Registered

1 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 1 states

Texas

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 4/25/2005

Series 63

Uniform Securities Agent State Law Examination

Passed 12/18/2004

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 31

Futures Managed Funds Examination

Passed 7/31/2007

Series 7

General Securities Representative Examination

Passed 8/5/2004

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

WATERLOO CAPITAL Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MORGAN STANLEY DW INC.

8/6/2004 – 3/1/2005PURCHASE, NY

RAYMOND JAMES & ASSOCIATES, INC.

5/19/2017 – 5/7/2020AUSTIN, TX

UBS FINANCIAL SERVICES INC.

4/8/2005 – 10/14/2009AUSTIN, TX

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

10/2/2009 – 5/22/2017AUSTIN, TX

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Elizabeth Evette Mock-Hernandez has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.