Ivan M. Mendoza

MENDOZA PRIVATE WEALTH

Miami, FL 33166

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CRD#: 4013969

Professional summary

Ivan Miguel Mendoza, CFP®, ChFC®, CLU® is a registered financial advisor currently at MENDOZA PRIVATE WEALTH located in Miami, Florida.

Ivan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Ivan has worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

MENDOZA PRIVATE WEALTH INC, INVT RELATED, DORAL, FL, 100% OWNERSHIP, START DATE 2/13/2016, 150 HRS PER MONTH, 150 HRS DURING TRADING, FINET PRACTICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Miguel Mendoza's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2003

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

January 19, 2024 - Present

MENDOZA PRIVATE WEALTH

Office #1: 8333 Nw 53rd Street Suite 450, Miami, FL 33166

RIA

CRD#: 329126

Miami, FL

Past

April 15, 2016 - January 31, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

DORAL, FL

Past

April 13, 2016 - January 31, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

DORAL, FL

Past

February 28, 2012 - April 19, 2016

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

MIAM, FL

Past

January 17, 2012 - April 19, 2016

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

MIAMI, FL

Past

September 15, 2010 - January 4, 2012

SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319

HARTFORD, CT

Past

February 4, 2009 - September 15, 2010

AXCELUS FINANCIAL DISTRIBUTION COMPANY

CRD#: 38383

PHILADELPHIA, PA

Past

August 11, 2005 - February 4, 2009

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

October 22, 1999 - August 15, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

CORAL GABLES, FL

Past

October 20, 1999 - August 15, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(1/19/2024)

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 66

Date: 1/21/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/20/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/16/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/13/2013

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/5/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/19/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/5/2001

General Securities Principal Examination

Current Firm

MENDOZA PRIVATE WEALTH

MENDOZA PRIVATE WEALTH | MENDOZA PRIVATE WEALTH INC.

CRD#: 329126 / SEC#: 801-129237

RIA

Registered Investment Advisory firm - (9/4/2024 Terminated)

Florida

Registered Investment Advisory firm - (8/30/2024 Approved)

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).

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Contact information

Main Address

8333 Nw 53rd Street Suite 450, Miami, FL 33166

Mailing Address

Phone number

(305) 503-5133

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	143
AUM (Assets Under Management)	$ 77,572,000

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

Ivan M. Mendoza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Miguel Mendoza's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

SAYBRUS EQUITY SERVICES, LLC

AXCELUS FINANCIAL DISTRIBUTION COMPANY

VP DISTRIBUTORS LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/21/2012

Series 63

Date: 4/20/2000

Series 65

Date: 11/16/1999

SIE

Date: 10/1/2018

Series 31

Date: 3/13/2013

Series 7

Date: 10/5/2000

Series 6

Date: 10/19/1999

Series 24

Date: 9/5/2001

Current Firm

MENDOZA PRIVATE WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MENDOZA PRIVATE WEALTH

TRUST BUT VERIFY

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