Luis A. 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.
Luis Adam Mendoza, who also goes by Luis A Mendoza, was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 2007. Luis had worked at 6 firms and has passed the Series 65, Series 63 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
January 3, 2012 - November 29, 2012
TAMARAC INC
January 27, 2011 - December 31, 2011
TAMARAC ADVISOR SERVICES, LLC
December 1, 2009 - October 19, 2010
CHASE INVESTMENT SERVICES CORP.
December 1, 2009 - October 19, 2010
CHASE INVESTMENT SERVICES CORP.
June 1, 2009 - August 21, 2009
MORGAN STANLEY
February 10, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 19, 2007 - August 20, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
TAMARAC INC
CRD#: 116545 / SEC#:
Contact information
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.
