SM
Saul Mendoza
T. ROWE PRICE ADVISORY SERVICES
Windsor, CO
Some features on this profile are disabled
CRD#: 4342530
SM
Professional summary
Saul Mendoza, CIMA®, who also goes by Saul Mendoza, is a registered financial advisor currently at T. ROWE PRICE ADVISORY SERVICES, INC. located in Windsor, Colorado and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Saul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Saul has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Saul Mendoza
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.
Entity Name: RV Rental Investment related: No "Address: Seminole, FL 33777" Nature of the other business: RV Rental Position/Title/Relationship: Owner/Partner Start Date: 10/18/2023 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I am a co owner of an RV with my Wife, Yasmina Martin Garcia, that we originally purchased for personal use. When we do not use it, then we look to rent it out on RVshare.com. My wife handles all of the interactions and admin work. I sometimes help with delivery. I dedicate on average 1 hr per month and it is outside business hours. either evenings or weekends.. Entity Name: 16112 4th st E Investment related: No "Address: Redington Beach, FL 33708" Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 08/01/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Co-owner of rental property. NAME OF BUSINESS: 4093 70th Terrace N LLC INVESTMENT RELATED: Yes ADDRESS: Pinellas Park, FL NATURE OF BUSINESS: REAL ESTATE POSITION: Co-OWNER DUTIES: TAKE CARE OF HOME AND REPAIRS START : 12/01/2014 DEVOTE 0-2 HOURS PER MONTH, NONE DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Saul Mendoza's 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®
Experience
Current
March 18, 2025 - Present
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
Windsor, CO
Current
March 18, 2025 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231BD
CRD#: 8348
BALTIMORE, MD
Past
April 14, 2023 - January 14, 2025
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
FIRESTONE, CO
Past
April 14, 2023 - January 14, 2025
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FIRESTONE, CO
Past
March 28, 2022 - December 14, 2022
ARS WEALTH ADVISORS
RIA
CRD#: 314882
ST. PETERSBURG, FL
Past
August 28, 2008 - January 26, 2022
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
November 29, 2002 - July 29, 2008
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
CENTENNIAL, CO
Past
February 12, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
February 12, 2001 - March 5, 2002
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
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".
TR
T. ROWE PRICE ADVISORY SERVICES, INC.
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
RIA
Registered Investment Advisory firm - (11/17/2000 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
Alabama(3/18/2025)
RR
Alaska(3/18/2025)
RR
Arizona(3/18/2025)
RR
Arkansas(3/18/2025)
RR
California(3/18/2025)
RR
Colorado(3/18/2025)
IAR
Colorado(3/18/2025)
RR
Connecticut(3/18/2025)
RR
Delaware(3/18/2025)
RR
District of Columbia(3/18/2025)
RR
Florida(3/18/2025)
RR
Georgia(3/18/2025)
RR
Hawaii(3/18/2025)
RR
Idaho(3/18/2025)
RR
Illinois(3/18/2025)
RR
Indiana(3/18/2025)
RR
Iowa(3/18/2025)
RR
Kansas(3/18/2025)
RR
Kentucky(3/18/2025)
RR
Louisiana(3/18/2025)
RR
Maine(3/18/2025)
RR
Maryland(3/18/2025)
IAR
Maryland(3/18/2025)
RR
Massachusetts(3/18/2025)
RR
Michigan(3/18/2025)
RR
Minnesota(3/18/2025)
RR
Mississippi(3/18/2025)
RR
Missouri(3/18/2025)
RR
Montana(3/18/2025)
RR
Nebraska(3/18/2025)
RR
Nevada(3/18/2025)
RR
New Hampshire(3/18/2025)
RR
New Jersey(3/18/2025)
RR
New Mexico(3/18/2025)
RR
New York(3/18/2025)
RR
North Carolina(3/18/2025)
RR
North Dakota(3/18/2025)
RR
Ohio(3/18/2025)
RR
Oklahoma(3/18/2025)
RR
Oregon(3/18/2025)
RR
Pennsylvania(3/18/2025)
RR
Puerto Rico(3/18/2025)
RR
Rhode Island(3/18/2025)
RR
South Carolina(3/18/2025)
RR
South Dakota(3/18/2025)
RR
Tennessee(3/18/2025)
RR
Texas(3/18/2025)
RR
Utah(3/18/2025)
RR
Vermont(3/18/2025)
RR
Virgin Islands(3/18/2025)
RR
Virginia(3/18/2025)
RR
Washington(3/18/2025)
RR
West Virginia(3/18/2025)
RR
Wisconsin(3/18/2025)
RR
Wyoming(3/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TR
T. ROWE PRICE ADVISORY SERVICES, INC.
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
RIA
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Contact information
Main Address
4515 Painters Mills Road, Owings Mills, MD 21117
Mailing Address
Phone number
(800) 225-5132
Established
Firm type
Fiscal year end
# of Employees
86
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
