Daniel M. Mendoza
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.
Daniel Manuel Mendoza, who also goes by Danny Mendoza, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2002. Daniel had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2013 - December 5, 2014
FOREFRONT CAPITAL MARKETS LLC
January 2, 2013 - April 19, 2013
NATIONAL SECURITIES CORPORATION
April 20, 2012 - December 20, 2012
ALEXANDER CAPITAL, L.P.
January 1, 2011 - April 20, 2012
JOHN THOMAS FINANCIAL
August 25, 2009 - December 15, 2010
FRONTIER FINANCIAL ADVISORS, LLC
July 13, 2004 - September 2, 2004
W.A. CAPITAL MARKETS
June 17, 2003 - August 29, 2003
W.A. CAPITAL MARKETS
June 24, 2002 - August 2, 2002
W.A. CAPITAL MARKETS
State Registrations and Notice Filings
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Exams
Current Firm
FOREFRONT CAPITAL MARKETS LLC
CRD#: 151812 / SEC#: 801-80131, 8-68402
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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