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MM

Mark H. Mendez

FROST BROKERAGE SERVICES
HOUSTON, TX 77056
Some features on this profile are disabled
CRD#: 3135995
MM

Professional summary

Mark Henry Mendez is a registered financial professional currently at FROST BROKERAGE SERVICES, INC. located in Houston, Texas.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 4 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Henry Mendez's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 25, 2023 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 1700 Post Oak Blvd, Houston, TX 77056
BD
CRD#: 17465
HOUSTON, TX
Past

June 3, 2016 - August 15, 2023

DFA SECURITIES LLC

BD
CRD#: 10292
AUSTIN, TX
Past

March 13, 2014 - April 25, 2016

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

December 14, 1998 - April 25, 2016

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/10/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FROST BROKERAGE SERVICES, INC.
FROST BROKERAGE SERVICES, INC. | FROST WEALTH MANAGEMENT

CRD#: 17465 / SEC#: , 8-35285

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Contact information

Main Address
111 W. Houston Street, San Antonio, TX 78205
Mailing Address
P.o. Box 2538, San Antonio, TX 78299
Phone number
(210) 220-5000
Established
Texas since 03/21/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FROST BANKPARENT COMPANY
REPA, JACK BRANDONCHIEF COMPLIANCE OFFICER2558740
WALSH, CHRISTOPHER SCOTTPRESIDENT / CHIEF OPERATIONS OFFICER2580114

Disclosures

Regulatory Event4
Civil Event1
Arbitration1

Red Flags

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.

Company Information

FROST BROKERAGE SERVICES, INC.

CRD#: 17465Houston, TX 77056

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