Arthur B. Paganessi

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CRD#: 355115

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.

Arthur Brian Paganessi was a registered financial professional .

Arthur is a previously registered financial professional and started their career in finance in 1973. Arthur had worked at 6 firms and has passed the Series 63, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

1. PORK PRODUCER - NORTHERN IL PORK COMPANY (NIPCO), 2400 BETHANY RD, SYCAMORE, IL 60178 - 1/2 HR/WK & QUARTERLY BOARD MEETINGS - BOARD MEMBER/ >1% OWNER 2. PORK PRODUCER - MAYFIELD FARMS, SAME ADDRESS AND TIME DEVOTED - BOARD MEMBER/ >2% OWNER 3. S & N MFG. INC. MANUFACTURER - 455 STEVENS ST, GENEVA, IL 60134 - 35+ HRS/WK -VICE PRESIDENT/ 100% OWNER.

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

August 25, 2009 - September 30, 2022

MENDOTA FINANCIAL GROUP, LLC

RIA

CRD#: 136294

MADISON, WI

Past

September 26, 2002 - August 26, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

GENEVA, IL

Past

January 12, 1998 - September 18, 2006

HERITAGE CAPITAL MANAGEMENT INC

RIA

CRD#: 110383

GENEVA, IL

Past

December 23, 1997 - December 31, 2003

STERLING PORTFOLIO ALLOCATION SERVICE INC

RIA

CRD#: 110796

GENEVA, IL

Past

May 8, 1985 - August 26, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

GENEVA, IL

Past

November 1, 1982 - April 15, 1985

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 15, 1973 - December 15, 1982

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

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".

MENDOTA FINANCIAL GROUP, LLC

CRD#: 136294 / SEC#: 801-67644

RIA

Registered Investment Advisory firm - (3/13/2007 Approved)

Illinois

Registered Investment Advisory firm - (3/26/2007 Terminated)

Iowa

Registered Investment Advisory firm - (3/26/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/26/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 8/2/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 10/10/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/1984

General Securities Principal Examination

Current Firm

MENDOTA FINANCIAL GROUP, LLC

CRD#: 136294 / SEC#: 801-67644

RIA

Registered Investment Advisory firm - (3/13/2007 Approved)

Illinois

Registered Investment Advisory firm - (3/26/2007 Terminated)

Iowa

Registered Investment Advisory firm - (3/26/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/26/2007 Terminated)

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Contact information

Main Address

634 West Main Street Suite 302, Madison, WI 53703

Mailing Address

Phone number

(608) 223-9211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	919
AUM (Assets Under Management)	$ 254,600,000

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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Advisor Monitoring

Firm Stability Insights

Arthur B. Paganessi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WATERSTONE FINANCIAL GROUP, INC.

HERITAGE CAPITAL MANAGEMENT INC

STERLING PORTFOLIO ALLOCATION SERVICE INC

WATERSTONE FINANCIAL GROUP, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

MENDOTA FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/2/1983

Series 1

Date: 10/10/1973

Series 24

Date: 3/13/1984

Current Firm

MENDOTA FINANCIAL GROUP, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MENDOTA FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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