Juan C. Mendoza

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CRD#: 3263024

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.

Juan Candelario Mendoza JR, who also goes by John C Mendoza, was a registered financial professional .

Juan is a previously registered financial professional and started their career in finance in 1999. Juan had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John C Mendoza

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.

I am licensed to sell fixed insurance products. I currently sell fixed life and annuity products. I work under the Mendoza Settlement Group. I work from my home at 609 Tesoro Ave, Rancho Viejo, Texas 78575 and work this 50% of time.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 15, 2018 - April 7, 2025

FMSA

RIA

CRD#: 154136

RANCHO VIEJO, TX

Past

June 13, 2008 - June 3, 2016

LPL FINANCIAL LLC

CRD#: 6413

RANCHO VIEJO, TX

Past

May 1, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

May 1, 2006 - June 16, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SAN ANTONIO, TX

Past

September 13, 2004 - December 15, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 17, 2002 - August 19, 2004

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

July 28, 1999 - May 1, 2001

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

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".

FMSA

FINANCIAL MANAGEMENT SERVICES OF AMERICA LLC. | FMSA

CRD#: 154136 / SEC#: 801-71764

RIA

Registered Investment Advisory firm - (8/23/2010 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/3/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/26/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FMSA

FINANCIAL MANAGEMENT SERVICES OF AMERICA LLC. | FMSA

CRD#: 154136 / SEC#: 801-71764

RIA

Registered Investment Advisory firm - (8/23/2010 Approved)

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Contact information

Main Address

Delray Beach, FL

Mailing Address

Phone number

(561) 289-2602

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FMSA ADV 2 (3/7/2025)

Regulatory assets under management

Total Number of Accounts	862
AUM (Assets Under Management)	$ 189,133,382

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.

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Firm Stability Insights

Juan C. Mendoza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

FORESTERS EQUITY SERVICES, INC.

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

FMSA

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2018

Series 63

Date: 8/10/1999

SIE

Date: 6/3/2016

Series 6

Date: 7/26/1999

Current Firm

FMSA

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FMSA

TRUST BUT VERIFY

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