JM
Joseph J. Mengis
MENGIS CAPITAL MANAGEMENT
PORTLAND, OR 97258
Some features on this profile are disabled
CRD#: 1634264
JM
Professional summary
Joseph Jeffrey Mengis, who also goes by Jeff Mengis, Joseph Jeffery Mengis, is a registered financial advisor currently at MENGIS CAPITAL MANAGEMENT, INC. located in Portland, Oregon.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Joseph has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Mengis | Joseph Jeffery Mengis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. St. Vincent Medical Center - Heart Leadership Cabinet, non-investment related, 9205 SW Barnes Road, Portland, OR 97225, community outreach for Heart Institute Providence, part of advocate group, October 2018, 1.5 hours per quarter after trading hours, 1.5 hours per quarter during trading hours, advocate for Heart Institute by attending meetings and sharing knowledge of program; 2. The Park Academy, non-investment related, 1915 South Shore Blvd, Lake Oswego, OR 97034, a school for dyslexic children, Director, July 2012, 1.5 hours per month after trading hours, 1.5 hours per month during trading hours, Chair Development Committee/serve on board; 3. Portland Police Historical Society, non-investment related, 1111 SW 2nd Ave, Portland, OR 97204, operation of Portland police museum, Director, January 2019, 1 hour every 6 months after trading hours, zero hours during trading hours, serve on board to support museum in very limited capacity; and 4. Harold and Margaret Taylor Foundation, non-investment related, 5520 S Macadam Ave, Ste 255, Portland OR 97239, making grants to various charitable organizations, Director, August 2016, 1 hour per year after trading hours, zero hours during trading hours, serve as director in very limited capacity reviewing gifts and filing minutes for annual board meeting
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Jeffrey Mengis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 29, 2001 - Present
MENGIS CAPITAL MANAGEMENT, INC.
Office #1: One Sw Columbia Suite 780, Portland, OR 97258RIA
CRD#: 117127
PORTLAND, OR
Past
February 1, 1999 - November 29, 2001
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
April 11, 1997 - February 8, 1999
CHARTER INVESTMENT GROUP, INC.
BD
CRD#: 42506
PORTLAND, OR
Past
January 16, 1996 - April 9, 1997
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
December 2, 1991 - April 4, 1996
CHARTER INVESTMENT GROUP, INC.
BD
CRD#: 7410
PORTLAND, OR
Past
March 2, 1987 - June 28, 1991
BLACK & COMPANY, INC.
BD
CRD#: 95
PORTLAND, OR
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MC
MENGIS CAPITAL MANAGEMENT, INC.
MENGIS CAPITAL MANAGEMENT, INC.
CRD#: 117127 / SEC#: 801-60688
RIA
Registered Investment Advisory firm - (11/9/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Oregon(11/29/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
MC
MENGIS CAPITAL MANAGEMENT, INC.
MENGIS CAPITAL MANAGEMENT, INC.
CRD#: 117127 / SEC#: 801-60688
RIA
Registered Investment Advisory firm - (11/9/2001 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Sw Columbia Suite 780, Portland, OR 97204
Mailing Address
Phone number
(503) 916-0776
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 688 |
| AUM (Assets Under Management) | $ 899,074,796 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2024 | ||
| 11/27/2023 | ||
| 07/14/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
