Mario C. Mendoza
Professional summary
Mario Carlos Mendoza, who also goes by Mario Carlos Mendoza, Mario Mendoza, Mario Carlos Mendoza-beltran, is a registered financial professional currently at FARMERS FINANCIAL SOLUTIONS, LLC located in Stockton, California.
Mario is registered as a RR (Registered Representative) and started their career in finance in 2004. Mario has worked at 9 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mario Carlos Mendoza's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2023 - Present
FARMERS FINANCIAL SOLUTIONS, LLC
Office #1: 2321 W March Ln Ste 210, Stockton, CA 95207January 16, 2018 - May 21, 2018
U.S. BANCORP INVESTMENTS, INC.
January 16, 2018 - May 21, 2018
U.S. BANCORP INVESTMENTS, INC.
February 24, 2016 - August 31, 2016
CALTON & ASSOCIATES, INC.
February 24, 2016 - August 31, 2016
CALTON & ASSOCIATES, INC.
September 12, 2011 - January 20, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 9, 2011 - January 20, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 11, 2010 - September 12, 2011
BANCWEST INVESTMENT SERVICES, INC.
August 10, 2010 - September 12, 2011
BANCWEST INVESTMENT SERVICES, INC.
May 2, 2009 - August 10, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - August 10, 2010
CHASE INVESTMENT SERVICES CORP.
September 18, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
September 17, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
January 18, 2006 - August 21, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 2006 - August 21, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 2004 - January 6, 2006
MORGAN STANLEY DW INC.
October 4, 2004 - January 6, 2006
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/12/2023)
Exams
Series 6TO
Date: 4/15/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FARMERS FINANCIAL SOLUTIONS, LLC
CRD#: 103863 / SEC#: 801-108217, 8-52361
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FFS HOLDING, LLC | MANAGING MEMBER | |
| BORKIN, JOSHUA ALAN | CHIEF FINANCIAL OFFICER | 6536355 |
| DAHM, CHRISTINE | BOARD MEMBER | 8191792 |
| DO, CHAU | SECRETARY | 7865522 |
| HANSON, GUY MEADE | BOARD MEMBER | 7165729 |
| HOHL, DOREN EUGENE | BAORD MEMBER | 1953425 |
| ROBINSON, TARETHA ANN | CHIEF COMPLIANCE OFFICER | 4539081 |
| ROBINSON, TARETHA ANN | DIRECTOR OF OPERATIONS | 4539081 |
| SCHEAR, ZACHARY | PRESIDENT | 5958762 |
| SCOTT, JANICE GALE | BOARD MEMBER | 7909854 |
| WILLOUGHBY, DENITA ANNETTE | BOARD MEMBER | 2368099 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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Company Information
FARMERS FINANCIAL SOLUTIONS, LLC
CRD#: 103863Stockton, CA 95207TRUST BUT VERIFY
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