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SM

Sergio J. Mejia

MISSIONSQUARE RETIREMENT
Phoenix, AZ
Some features on this profile are disabled
CRD#: 4278950
SM

Professional summary

Sergio Jude Mejia, who also goes by Sergio Jude Mejia Sr, Sergio Jude Mejia, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Phoenix, Arizona and MISSIONSQUARE WEALTH MANAGEMENT located in Washington, District Of Columbia.

Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sergio has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sergio Jude Mejia Sr | Sergio Jude Mejia

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sergio Jude Mejia'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®
None

Experience

Current

January 27, 2021 - Present

MISSIONSQUARE RETIREMENT

RIA
CRD#: 108783
Phoenix, AZ
Current

December 16, 2020 - Present

MISSIONSQUARE WEALTH MANAGEMENT

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240
BD
CRD#: 23189
Washington, DC
Past

August 21, 2019 - November 24, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
PHOENIX, AZ
Past

November 2, 2017 - August 12, 2019

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
Scottsdale, AZ
Past

March 3, 2010 - July 20, 2016

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
SURPRISE, AZ
Past

February 1, 2008 - January 14, 2010

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
PHOENIX, AZ
Past

March 7, 2007 - April 16, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PEORIA, AZ
Past

October 14, 2002 - February 4, 2005

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

January 22, 2002 - August 29, 2002

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA
Past

October 6, 2000 - December 31, 2001

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT

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".
MR
MISSIONSQUARE RETIREMENT
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION

CRD#: 108783 / SEC#: 801-18273

RIA
Registered Investment Advisory firm - (1/19/1983 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/21/2021)
IAR
Arizona
(1/27/2021)
IAR
California
(12/2/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/21/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/29/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/5/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MR
MISSIONSQUARE RETIREMENT
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION

CRD#: 108783 / SEC#: 801-18273

RIA
Registered Investment Advisory firm - (1/19/1983 Approved)
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Contact information

Main Address
777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240
Mailing Address
Phone number
(202) 962-4600
Established
Firm type
Fiscal year end
# of Employees
599

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (2/6/2026)
GUIDED PATHWAYS ADVISORY SERVICES (2/6/2026)
INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts58,580
AUM (Assets Under Management)$ 5,959,398,729

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/28/2025
Cover Page
Report
01/27/2025
Cover Page
Report
10/27/2023
Cover Page
Report

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.

Company Information

MISSIONSQUARE RETIREMENT

CRD#: 108783Phoenix, AZ

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