Luis Socorro Mendez
Professional Summary
Luis Socorro Mendez was a registered financial advisor. Luis was a previously registered financial professional and started their career in finance 1970 - 1992. Luis had worked at 6 firms and has passed the Series 41, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
56 years in the financial services industry
Current & Past Employments
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Current Firm
DRESDNER KLEINWORT WASSERSTEIN | WASSERSTEIN, PERELLA & CO., INC. | WASSERSTEIN PERELLA & CO., INC. | DRESDNER KLEINWORT WASSERSTEIN, LLC | DRESDNER KLEINWORT WASSERSTEIN, INC.
Contact Information
Established
Delaware since 06/23/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRKW HOLDINGS III, INC. | COMMON INTEREST HOLDER | — |
| DRKW HOLDINGS II, INC. | 5% PFD INTEREST HOLDER / 1% COMMON INTEREST HOLDER | — |
| CRAVEN, ANDREW JAMES | DIRECTOR OF COMPLIANCE | 4190965 |
| GOSLING, ANDREW N | DIRECTOR / FINOP | 4572822 |
| MOSES, CAROLYN JANE FLETCHER | PRESIDENT/CEO | 2681476 |
| SIEGEL, LEE | CHIEF LEGAL OFFICER | 2018541 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 41 — NYSE Allied Member Examination
Passed Jun 1975Series 1 — Registered Representative Examination
Passed Nov 1970Series 40 — Registered Principal Examination
Passed Jun 1975Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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