Carlos G. Mendez

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CRD#: 5237378

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.

Carlos G Mendez was a registered financial professional .

Carlos is a previously registered financial professional and started their career in finance in 2007. Carlos had worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 11, 2012 - September 3, 2013

AMERANT INVESTMENTS, INC.

RIA

CRD#: 117284

AVENTURA, FL

Past

June 27, 2012 - September 3, 2013

AMERANT INVESTMENTS, INC.

CRD#: 117284

CORAL GABLES, FL

Past

November 13, 2009 - June 15, 2010

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

BOCA RATON, FL

Past

November 13, 2009 - June 15, 2010

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

BOCA RATON, FL

Past

October 6, 2008 - November 13, 2009

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

BOCA RATON, FL

Past

October 6, 2008 - November 13, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

BOCA RATON, FL

Past

February 13, 2007 - March 7, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOCA RATON, FL

Past

January 1, 2007 - March 7, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOCA RATON, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERANT INVESTMENTS, INC.

CRD#: 117284 / SEC#: 801-61889, 8-53612

RIA

Registered Investment Advisory firm - SEC (8/9/2002 Approved)

Florida

Registered Investment Advisory firm - SEC (8/19/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (8/9/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/9/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/21/2006

General Securities Representative Examination

Current Firm

AMERANT INVESTMENTS, INC.

CRD#: 117284 / SEC#: 801-61889, 8-53612

RIA

Registered Investment Advisory firm - SEC (8/9/2002 Approved)

Florida

Registered Investment Advisory firm - SEC (8/19/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (8/9/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134

Mailing Address

220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134

Phone number

(305) 460-8599

Established

Delaware since 07/24/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (8 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 6-25 (6/24/2025)

WRAP BROCHURE 9-24 (3/20/2025)

Direct owners and executive officers

Name	Position	CRD#
AMERANT BANK, N.A.	SHAREHOLDER
CALDERON YEPEZ, SHARYMAR EGLLEE	DIRECTOR	7809045
CAPRILES, ALBERTO MANUEL	DIRECTOR	6998024
GARGANTA, ANDRES JOSE	DIRECTOR	5483075
GUERRERO, SERGIO EMILIANO MR.	COO & FINOP	5718350
IAFIGLIOLA, CARLOS	DIRECTOR	7285620
LUCAS, EMERIS DEL VALLE	BRANCH MANAGER	5193416
RESTREPO, JOSE VICENTE	CCO	6148942

Regulatory assets under management

Total Number of Accounts	1,194
AUM (Assets Under Management)	$ 688,203,169

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Carlos G. Mendez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERANT INVESTMENTS, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

AMERANT INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/9/2007

Series 7

Date: 12/21/2006

Current Firm

AMERANT INVESTMENTS, INC.

Contact information

SEC notice filing (8 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERANT INVESTMENTS, INC.

TRUST BUT VERIFY

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