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JM

John Alfonso Mendez

CHATHAM, NJ
·CRD# 2185151·35 years experience

Professional Summary

John Alfonso Mendez, who also goes by John A Mendez, John Mendez, Juan A Mendez, Juan A. Mendez, Juan Alfonso Mendez, was a registered financial advisor. John was registered as a RR (Registered Representative) and started their career in finance in 1991. John had worked at 17 firms and has passed the Series 66, Series 63, Series 99TO, Series 55, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John A Mendez, John Mendez, Juan A Mendez, Juan A. Mendez, Juan Alfonso Mendez

Blog Corner

More Resources

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

Current

Unknown FirmCurrent·
28 Jackson Avenue, Chatham, NJ 07928
October 20, 2026 - Present

Past

MONDEUM CAPITALPast·CRD# 309574
BD
Miami, FL
January 5, 2021 - May 6, 2021
MM GLOBAL SECURITIES, INC.Past·CRD# 2509
BD
New York, NY
June 24, 2014 - October 7, 2014
PRITCHARD CAPITAL PARTNERS, LLCPast·CRD# 100480
BD
New York, NY
August 27, 2010 - June 26, 2012
ATMPast·CRD# 137211
BD
New York, NY
December 18, 2007 - November 25, 2008
PIPER SANDLER & CO.Past·CRD# 665
BD
Minneapolis, MN
November 19, 2004 - September 12, 2005
VIE SECURITIES, LLCPast·CRD# 47786
BD
New York, NY
July 16, 2004 - December 7, 2004
WELLS FARGO CLEARING SERVICES, LLCPast·CRD# 19616
BD
St. Louis, MO
July 1, 2003 - September 4, 2003
PRUDENTIAL EQUITY GROUP, LLCPast·CRD# 7471
BD
New York, NY
July 31, 2002 - July 1, 2003
HORNBLOWER FISCHER & CO.Past·CRD# 10885
BD
New York, NY
June 28, 2002 - August 16, 2002
ABN AMRO SECURITIES LLCPast·CRD# 6540
BD
New York, NY
July 1, 1998 - July 25, 2000
ING BARING (U.S.) SECURITIES, INC.Past·CRD# 5285
BD
New York, NY
August 6, 1997 - July 1, 1998
VALORES FINAMEX INTERNATIONAL, INC.Past·CRD# 26303
BD
Magnolia, TX
November 13, 1996 - June 18, 1997
NOMURA SECURITIES INTERNATIONAL, INC.Past·CRD# 4297
BD
New York, NY
March 18, 1996 - October 18, 1996
CREDIT SUISSE SECURITIES (USA) LLCPast·CRD# 816
BD
New York, NY
November 23, 1993 - February 5, 1996
BNP PARIBAS SECURITIES CORP.Past·CRD# 15794
BD
New York, NY
December 14, 1992 - December 6, 1993
SOUTH RICHMOND SECURITIES, INC.Past·CRD# 14913
BD
October 28, 1991 - January 28, 1992

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Current Firm

No current employment

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2021About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1991About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Oct 2026About the Series 99TO exam

Series 55 — Limited Representative-Equity Trader Exam

Passed May 2000

Series 7 — General Securities Representative Examination

Passed Oct 1991About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 2020About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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