Ariel M. Mendez
Professional summary
Ariel Manuel Mendez is a registered financial professional currently at SCHRODER FUND ADVISORS LLC located in New York, New York.
Ariel is registered as a RR (Registered Representative) and started their career in finance in 1999. Ariel has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ariel Manuel Mendez's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2006 - Present
SCHRODER FUND ADVISORS LLC
Office #1: 7 Bryant Park, New York, NY 10018-3706Office #2: 7 Bryant Park, New York, NY 10018-3706November 8, 1999 - January 12, 2005
TD AMERITRADE, 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
(1/27/2006)
Exams
FINRA
Current Firm
SCHRODER FUND ADVISORS LLC
CRD#: 24129 / SEC#: , 8-40973
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. | DIRECT OWNER | |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1905741 |
| LANIER, ANGEL | ASSISTANT SECRETARY | 6772355 |
| LOWE, RICHARD JOHN | BOARD MEMBER | 7060365 |
| MARSHALL, DAVID JAMES | AUTHORIZED SIGNATORY | 3070206 |
| MAZZA, CATHERINE ANDREA | PRESIDENT, CHAIR, BOARD MEMBER | 1444025 |
| MUHLBAUM, CARIN FANNY | SECRETARY | 3198495 |
| PATNAIK, SHANAK | CHIEF COMPLIANCE OFFICER | 6184296 |
| SAUER, WILLIAM PETER | BOARD MEMBER | 1622322 |
Red Flags
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