Brett Mock

Brett Mock has over 25 years of experience in capital markets, sales, trading and capital formation. In 1995, they began their career as a Nasdaq trader at Goldman Sachs/Spear Leeds and Kellogg. In 1998, they became a Principal - Nasdaq Sales and Trading at Montgomery Securities and then Banc of America Securities. Brett was an 8 figure revenue producer annually, responsible for large capital commitment for block trades, risk management, ECM/capital formation (IPOs & Follow-ons) and supporting investment banking league tables. From 2003 to 2006, they were a Director, Capital Markets/Equity Trading at Wachovia Securities, helping to grow the emerging institutional broker dealer from infancy to top 20 ranked Broker Dealer in the US. Brett was a seven figure annual revenue producer, helping to develop prime brokerage relationships, outsourced trading, international trading, research sales and corporate access. In 2010, they became the National Chairman of the Security Traders Association, the largest association of traders in the world with 23 chapters and membership at the time of over 5000. Brett's duties included regular meetings with the SEC commissioners and chairman, regular meetings with members of Congress, advising and lobbying on capital markets structure and regulations, planning the annual national conference, speaking at affiliate conferences, writing white papers and comment letters, and meeting with industry and exchange executives. In 2005, they were the President of the San Francisco Security Traders Association, authoring industry comment letters, implementing local charitable programs and fund raising, chairing monthly board meetings, and planning the annual Pebble Beach conference and regular local association events. From 2014 to 2017, they were a Senior Vice President at CMG (Capital Markets Gateway) and was the Head of Sales, investor and consultant for a capital markets fintech company, leading it from a startup with seed rounds to successful B round funding from major banks like GS, MS and JPM and institutions like Fidelity, Vanguard and Franklin Templeton. Since 2021, they have been the Senior VP, Head of Global Capital Markets at Nasdaq Private Market, responsible for managing the capital markets group, broker dealer and the NPM marketplace for private companies. Brett is also the Co-CEO of NPM Securities.

Brett Mock attended Mercer Island High School from 1983 to 1987, graduating with a High School Diploma. Brett then attended the University of Washington from 1987 to 1992, where they earned two Bachelor of Arts degrees in International Economics and Political Economics.