Christian J. Mendes
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.
Christian John Mendes was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 1995. Christian had worked at 8 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 6, Series 10, Series 9 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
May 4, 2015 - March 17, 2017
COMPASS INTERNATIONAL WEALTH MANAGEMENT
June 26, 2006 - January 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
June 23, 2006 - January 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 7, 2005 - August 15, 2006
HSBC SECURITIES (USA) INC.
January 1, 2005 - August 15, 2006
HSBC SECURITIES (USA) INC.
May 30, 2001 - January 1, 2005
HSBC BROKERAGE (USA) INC.
June 11, 1999 - June 4, 2001
UBS FINANCIAL SERVICES INC.
August 15, 1996 - July 2, 1999
CITICORP INVESTMENT SERVICES
May 26, 1995 - May 6, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 26, 1995 - May 6, 1996
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMPASS INTERNATIONAL WEALTH MANAGEMENT
CRD#: 171823 / SEC#: 801-80169
Contact information
Red Flags
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