Abelardo 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.
Abelardo Mendez, CFA, who also goes by Ab Mendez, Abelardo Mendez III, was a registered financial professional .
Abelardo is a previously registered financial professional and started their career in finance in 2007. Abelardo had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 87 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
February 17, 2015 - April 6, 2018
FROST INVESTMENT ADVISORS, LLC
July 2, 2012 - December 15, 2014
VIRTU AMERICAS LLC
March 7, 2012 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
December 5, 2011 - January 11, 2012
WJB CAPITAL GROUP, INC.
December 18, 2009 - May 7, 2010
THOMAS WEISEL PARTNERS LLC
August 1, 2007 - December 16, 2008
B. RILEY SECURITIES, INC.
January 23, 2007 - July 16, 2007
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
FROST INVESTMENT ADVISORS, LLC
CRD#: 146148 / SEC#: 801-68724
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
FROST INVESTMENT ADVISORS, LLC
CRD#: 146148 / SEC#: 801-68724
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 5,435,683,122 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/09/2023 | ||
| 12/09/2022 |
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.
