Karen V. Mendoza

ANDBANC ADVISORY LLC

Miami, FL 33131

Some features on this profile are disabled

CRD#: 4517507

Professional summary

Karen Valerie Mendoza, who also goes by Mendoza Valerie Karen, is a registered financial advisor currently at ANDBANC ADVISORY LLC located in Miami, Florida and ANDBANC BROKERAGE, LLC located in Miami, Florida.

Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Karen has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mendoza Valerie Karen

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.

INVESTMENT ADVISER REPRESENTATIVE OF AFFILIATED ADVISER, ANDBANC ADVISORY LLC SINCE DECEMBER 2015.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Valerie 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®

None

Experience

Current

December 17, 2015 - Present

ANDBANC ADVISORY LLC

Office #1: 201 S. Biscayne Blvd. Suite 1100, Miami, FL 33131

RIA

CRD#: 150463

Miami, FL

Current

December 9, 2015 - Present

ANDBANC BROKERAGE, LLC

Office #1: 201 S. Biscayne Boulevard, Suite 1100, Miami, FL 33131Office #2: 201 S. Biscayne Boulevard, Suite 1100, Miami, FL 33131

CRD#: 155979

Miami, FL

Past

June 1, 2009 - December 7, 2015

MORGAN STANLEY

RIA

CRD#: 149777

MIAMI, FL

Past

June 1, 2009 - December 7, 2015

MORGAN STANLEY

CRD#: 149777

MIAMI, FL

Past

May 14, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MIAMI, FL

Past

May 8, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

MIAMI, FL

Past

December 5, 2007 - June 3, 2009

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

MIAMI, FL

Past

August 2, 2006 - June 3, 2009

UBS INTERNATIONAL INC.

CRD#: 107726

MIAMI, FL

Past

June 24, 2002 - June 15, 2006

BNP PARIBAS INVESTMENT SERVICES, LLC

CRD#: 44598

MIAMI, FL

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".

ANDBANC ADVISORY LLC

ANDBANC ADVISORY LLC | SEA CAPITAL ADVISORS LLC | NAME1001

CRD#: 150463 / SEC#: 801-79716

RIA

Registered Investment Advisory firm - (5/19/2014 Approved)

Florida

Registered Investment Advisory firm - (6/30/2014 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.

IAR

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

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

Arizona
(7/7/2017)

California
(6/8/2017)

Colorado
(12/21/2018)

Connecticut
(9/20/2023)

Delaware
(10/25/2022)

Florida
(12/9/2015)

IAR

Florida
(12/17/2015)

Maryland
(7/12/2019)

Michigan
(4/19/2017)

New York
(1/9/2017)

Texas
(2/23/2017)

Vermont
(6/7/2019)

Wyoming
(10/31/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/3/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ANDBANC ADVISORY LLC

ANDBANC ADVISORY LLC | SEA CAPITAL ADVISORS LLC | NAME1001

CRD#: 150463 / SEC#: 801-79716

RIA

Registered Investment Advisory firm - (5/19/2014 Approved)

Florida

Registered Investment Advisory firm - (6/30/2014 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

201 S. Biscayne Blvd. Suite 1100, Miami, FL 33131

Mailing Address

Phone number

(305) 702-0601

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANDBANC ADVISORY LLC ADV BROCHURE (5/13/2025)

Regulatory assets under management

Total Number of Accounts	509
AUM (Assets Under Management)	$ 871,799,895

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.

Similar Advisors

Noah Alweiss

MORGAN STANLEY

IAR

Miami, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Karen V. Mendoza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Valerie Mendoza's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANDBANC BROKERAGE, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

BNP PARIBAS INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ANDBANC ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2007

SIE

Date: 10/1/2018

Series 7

Date: 6/21/2002

FINRA

Current Firm

ANDBANC ADVISORY LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANDBANC ADVISORY LLC

TRUST BUT VERIFY

Similar Advisors