Luis S. Mendez
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.
Luis Socorro Mendez was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1970. Luis had worked at 6 firms and has passed the Series 41, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 1991 - January 8, 1992
DRESDNER KLEINWORT WASSERSTEIN, LLC
August 15, 1980 - April 13, 1981
DILLON, READ ENSKILDA PARTNERS
December 12, 1979 - January 18, 1982
SBC WARBURG DILLON READ INC.
June 26, 1975 - August 1, 1989
CREDIT SUISSE SECURITIES (USA) LLC
June 19, 1973 - July 12, 1979
MORGAN STANLEY & CO., INCORPORATED
May 5, 1971 - May 13, 1973
LOEB RHOADES & CO
November 23, 1970 - July 25, 1971
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 41
Date: 6/26/1975
NYSE Allied Member ExaminationSeries 1
Date: 11/12/1970
Registered Representative ExaminationSeries 40
Date: 6/26/1975
Registered Principal ExaminationCurrent Firm
DRESDNER KLEINWORT WASSERSTEIN, LLC
CRD#: 22068 / SEC#: , 8-39334
Contact information
Documents
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 |
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.
