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JM

Jimmie V. Mendoza

CORNERSTONE ASSET MANAGEMENT
PUYALLUP, WA
Some features on this profile are disabled
CRD#: 2104549
JM

Professional summary

Jimmie Victor Mendoza JR is a registered financial advisor currently at CORNERSTONE ASSET MANAGEMENT, LLC located in Puyallup, Washington.

Jimmie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Jimmie has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmie Victor Mendoza JR'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®
None

Experience

Current

December 16, 2000 - Present

CORNERSTONE ASSET MANAGEMENT, LLC

RIA
CRD#: 117094
PUYALLUP, WA
Past

September 13, 1991 - January 3, 1996

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

May 1, 1991 - August 28, 1991

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

May 1, 1991 - August 28, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Washington
(12/16/2000)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/6/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/13/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/1/1996
General Securities Principal Examination

Current Firm

CA
CORNERSTONE ASSET MANAGEMENT, LLC
CORNERSTONE ASSET MANAGEMENT | CORNERSTONE ASSET MANAGEMENT, LLC

CRD#: 117094 / SEC#:

Washington
Registered Investment Advisory firm - (9/1/1999 Approved)
PREMIUM
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Contact information

Main Address
Puyallup, WA
Mailing Address
Po Box 1285, Puyallup, WA 98371
Phone number
(253) 686-9122
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts13
AUM (Assets Under Management)$ 4,634,174

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.

Company Information

CORNERSTONE ASSET MANAGEMENT, LLC

CRD#: 117094Puyallup, WA

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