Jorge C. Mendieta
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.
Jorge Carlos Mendieta was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 2000. Jorge had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2021 - July 13, 2021
EFG CAPITAL INTERNATIONAL
September 26, 2016 - January 20, 2023
EFG ASSET MANAGEMENT (AMERICAS) CORP.
August 31, 2016 - January 20, 2023
EFG CAPITAL INTERNATIONAL
March 24, 2008 - September 9, 2016
HSBC SECURITIES (USA) INC.
March 14, 2008 - September 9, 2016
HSBC SECURITIES (USA) INC.
May 15, 2003 - March 17, 2006
UBS INTERNATIONAL INC.
April 1, 2003 - March 17, 2006
UBS INTERNATIONAL INC.
December 21, 2000 - May 7, 2002
PRUDENTIAL EQUITY GROUP, LLC
December 20, 2000 - May 7, 2002
PRUDENTIAL EQUITY GROUP, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
EFG CAPITAL INTERNATIONAL
CRD#: 40118 / SEC#: 801-120569, 8-48969
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EFG CAPITAL HOLDINGS CORP. | PARENT | |
| ARGUMEDO, GUILLERMO ARTURO | SENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL | 2542794 |
| BORGES, LEONARDO SILVA | PRINCIPAL OPERATIONS OFFICER | 5637377 |
| ECHEVARRIA, VICTOR MANUEL | CHAIRMAN OF THE BOARD | 1939548 |
| GONZALEZ, CARLOS JAVIER | CHIEF COMPLIANCE OFFICER | 4294205 |
| LEVERETT, KYLE LAWRENCE | PRINCIPAL FINANCIAL OFFICER | 6123446 |
| MESQUITA, SILVANA SOBRAL | AMLCO | 6983852 |
| MOHOROVIC, SANJIN | CEO | 6849141 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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