Moises Y. Mendez
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.
Moises Yael Mendez, who also goes by Moises Yael Mendez III, Yael Mendez, was a registered financial professional .
Moises is a previously registered financial professional and started their career in finance in 2002. Moises had worked at 13 firms and has passed the Series 66, 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
December 8, 2016 - July 7, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
November 22, 2016 - July 7, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
September 21, 2015 - May 24, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
September 9, 2015 - May 24, 2016
BBVA SECURITIES INC.
February 2, 2015 - May 1, 2015
SOUTHWESTERN CAPITAL MARKETS, INC.
August 21, 2013 - January 15, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
August 21, 2013 - January 15, 2015
CAPITAL GUARDIAN, LLC
May 16, 2013 - August 21, 2013
BBVA SECURITIES INC.
January 5, 2012 - August 21, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
December 5, 2011 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 27, 2010 - February 18, 2011
LPL FINANCIAL LLC
April 27, 2010 - February 18, 2011
LPL FINANCIAL LLC
September 8, 2006 - January 4, 2010
BANORTE ASSET MANAGEMENT INC
July 17, 2006 - March 6, 2009
BANORTE SECURITIES INTERNATIONAL, LTD.
November 16, 2005 - July 18, 2006
CHASE INVESTMENT SERVICES CORP.
November 16, 2005 - July 18, 2006
CHASE INVESTMENT SERVICES CORP.
March 18, 2005 - November 17, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
September 13, 2004 - November 17, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
October 14, 2002 - March 28, 2003
IDS LIFE INSURANCE COMPANY
October 14, 2002 - March 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
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
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2026 | ||
| 10/21/2024 | ||
| 01/25/2024 |
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.
