John A. Mendez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
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 professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 16 firms and has passed the Series 66, Series 63, Series 99TO, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2021 - May 6, 2021
MONDEUM CAPITAL
June 24, 2014 - October 7, 2014
MM GLOBAL SECURITIES, INC.
August 27, 2010 - June 26, 2012
PRITCHARD CAPITAL PARTNERS, LLC
December 18, 2007 - November 25, 2008
ATM
November 19, 2004 - September 12, 2005
PIPER SANDLER & CO.
July 16, 2004 - December 7, 2004
VIE SECURITIES, LLC
July 1, 2003 - September 4, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 31, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 28, 2002 - August 16, 2002
HORNBLOWER FISCHER & CO.
July 1, 1998 - July 25, 2000
ABN AMRO SECURITIES LLC
August 6, 1997 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
November 13, 1996 - June 18, 1997
VALORES FINAMEX INTERNATIONAL, INC.
March 18, 1996 - October 18, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
November 23, 1993 - February 5, 1996
CREDIT SUISSE SECURITIES (USA) LLC
December 14, 1992 - December 6, 1993
BNP PARIBAS SECURITIES CORP.
October 28, 1991 - January 28, 1992
SOUTH RICHMOND SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
MONDEUM CAPITAL
CRD#: 309574 / SEC#: , 8-70542
Contact information
FINRA licenses (1 States and Territories)
Red Flags
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