RM
Raul Mendez
CETERA INVESTMENT SERVICES LLC
EAGLE PASS, TX 78852
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CRD#: 3244412
RM
Professional summary
Raul Mendez JR, who also goes by Bule Mendez, Raul Mendez, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Eagle Pass, Texas.
Raul is registered as a RR (Registered Representative) and started their career in finance in 1999. Raul has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bule Mendez | Raul Mendez
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.
CRS (Client Relationship Summary) - BD
Click below to view Raul Mendez JR'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
April 8, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1640 E Main Street Suite 3, Eagle Pass, TX 78852BD
CRD#: 15340
EAGLE PASS, TX
Past
December 7, 2016 - April 8, 2024
OSAIC FS, INC.
BD
CRD#: 3870
SAN ANTONIO, TX
Past
April 23, 2007 - January 6, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SHAVANO PARK, TX
Past
April 5, 2004 - April 26, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
EAGLE PASS, TX
Past
April 5, 2004 - April 26, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
EAGLE PASS, TX
Past
August 13, 1999 - March 26, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(4/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS
CRD#: 15340 / SEC#: 801-45573, 8-31826
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA INVESTMENT SERVICES LLC
CRD#: 15340Eagle Pass, TX 78852TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
