CM
Catherine C. Mendoza
VIRTUE CAPITAL MANAGEMENT
Dublin, CA 94568
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CRD#: 2961145
CM
Professional summary
Catherine C Mendoza, who also goes by Catherine Mendoza, Catherine C Mendozaumpad, Cathy Mendoza, Catherine Umpad, is a registered financial advisor currently at VIRTUE CAPITAL MANAGEMENT, LLC located in Dublin, California.
Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Catherine has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catherine Mendoza | Catherine C Mendozaumpad | Cathy Mendoza | Catherine Umpad
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) CM FINANCIAL STRATEGIES, Title: INSURANCE PROFESSIONAL�, Description: LIFE, HEALTH & DISABILITY INSURANCE AGENT, Start Date: 05-15-2013, Address: 11501 DUBLIN BLVD. SUITE 200 DUBLIN CA 94568, Investment-related? YES, Hours per month: 160, During trading hours: 0 (2) CMF FINANCIAL ACCOUNTING & BOOKKEEPING, Title: OWNER/CEO , Description: SUPERVISE AND SOLICIT CLIENTS FOR ACCOUNTING AND BOOKKEEPING SERVICES , Start Date: 2/22/2022, Address: 1630 CHARM WAY SACRAMENTO CA 95835, Investment-related? NO, Hours per month: 20, During trading hours: 0 (3) CM FINANCIAL CAPITAL SOLUTIONS, Title: DIRECTOR, Description: PROVIDING A SERVICE TO MATCH AND REFER SMALL BUSINESS OWNERS NEEDING FUNDS AND CAPITAL WITH BUSINESS CAPITAL LENDERS AND BROKERS, Start Date: 12/18/2023, Address: 11501 DUBLIN BLVD. STE 200 DUBLIN CA 94568, Investment-related? NO, Hours per month: 40, During trading hours: 0
CRS (Client Relationship Summary) - RIA
Click below to view Catherine C Mendoza'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
May 7, 2019 - Present
VIRTUE CAPITAL MANAGEMENT, LLC
Office #1: 11501 Dublin Blvd. Suite 316, Dublin, CA 94568RIA
CRD#: 167816
Dublin, CA
Past
April 15, 2016 - May 3, 2019
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
Dublin, CA
Past
May 1, 1998 - December 31, 1999
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
VC
VIRTUE CAPITAL MANAGEMENT, LLC
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816 / SEC#: 801-79938
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)Arizona
Registered Investment Advisory firm - (7/1/2014 Terminated)California
Registered Investment Advisory firm - (7/31/2014 Terminated)Florida
Registered Investment Advisory firm - (7/1/2014 Terminated)Georgia
Registered Investment Advisory firm - (7/1/2014 Terminated)Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)Ohio
Registered Investment Advisory firm - (7/1/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/1/2014 Terminated)Tennessee
Registered Investment Advisory firm - (7/31/2014 Terminated)Texas
Registered Investment Advisory firm - (7/1/2014 Terminated)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
California(5/7/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
VC
VIRTUE CAPITAL MANAGEMENT, LLC
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816 / SEC#: 801-79938
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)Arizona
Registered Investment Advisory firm - (7/1/2014 Terminated)California
Registered Investment Advisory firm - (7/31/2014 Terminated)Florida
Registered Investment Advisory firm - (7/1/2014 Terminated)Georgia
Registered Investment Advisory firm - (7/1/2014 Terminated)Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)Ohio
Registered Investment Advisory firm - (7/1/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/1/2014 Terminated)Tennessee
Registered Investment Advisory firm - (7/31/2014 Terminated)Texas
Registered Investment Advisory firm - (7/1/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6 Cadillac Dr. Suite 310, Brentwood, TN 37027
Mailing Address
Phone number
(615) 340-0801
Established
Firm type
Fiscal year end
# of Employees
110
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,111 |
| AUM (Assets Under Management) | $ 787,466,707 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816Dublin, CA 94568TRUST BUT VERIFY
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