AM
Alexander Mendoza
MURIEL SIEBERT & CO.
Chicago, IL 60601
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CRD#: 6191315
AM
Professional summary
Alexander Mendoza, who also goes by Alex Mendoza, Alexander Mendoza, Fermin Alejandro Mendoza, is a registered financial professional currently at MURIEL SIEBERT & CO., LLC located in Chicago, Illinois.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 2014. Alexander has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alex Mendoza | Alexander Mendoza | Fermin Alejandro Mendoza
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.
CRS (Client Relationship Summary) - BD
Click below to view Alexander Mendoza's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 23, 2025 - Present
MURIEL SIEBERT & CO., LLC
Office #1: 303 E. Wacker Dr. Suite 2950, Chicago, IL 60601BD
CRD#: 5376
Chicago, IL
Past
July 25, 2022 - April 10, 2025
MORGAN STANLEY
BD
CRD#: 149777
Chicago, IL
Past
September 17, 2014 - September 5, 2023
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/23/2025)
RR
Alaska(4/23/2025)
RR
Arizona(4/23/2025)
RR
Arkansas(4/23/2025)
RR
California(4/23/2025)
RR
Colorado(4/23/2025)
RR
Connecticut(4/23/2025)
RR
Delaware(4/23/2025)
RR
District of Columbia(4/23/2025)
RR
Florida(4/23/2025)
RR
Georgia(4/23/2025)
RR
Hawaii(4/23/2025)
RR
Idaho(4/23/2025)
RR
Illinois(4/23/2025)
RR
Indiana(4/23/2025)
RR
Iowa(4/23/2025)
RR
Kansas(4/23/2025)
RR
Kentucky(4/23/2025)
RR
Louisiana(4/23/2025)
RR
Maine(4/23/2025)
RR
Maryland(4/23/2025)
RR
Massachusetts(4/23/2025)
RR
Michigan(4/23/2025)
RR
Minnesota(4/23/2025)
RR
Mississippi(4/23/2025)
RR
Missouri(4/23/2025)
RR
Montana(4/23/2025)
RR
Nebraska(4/23/2025)
RR
Nevada(4/23/2025)
RR
New Hampshire(4/23/2025)
RR
New Jersey(4/23/2025)
RR
New Mexico(4/23/2025)
RR
New York(4/23/2025)
RR
North Carolina(4/23/2025)
RR
North Dakota(4/23/2025)
RR
Ohio(4/24/2025)
RR
Oklahoma(4/23/2025)
RR
Oregon(4/23/2025)
RR
Pennsylvania(4/23/2025)
RR
Puerto Rico(4/23/2025)
RR
Rhode Island(4/23/2025)
RR
South Carolina(4/23/2025)
RR
South Dakota(4/23/2025)
RR
Tennessee(4/23/2025)
RR
Texas(4/23/2025)
RR
Utah(4/23/2025)
RR
Vermont(4/23/2025)
RR
Virginia(4/23/2025)
RR
Washington(4/23/2025)
RR
West Virginia(4/23/2025)
RR
Wisconsin(4/23/2025)
RR
Wyoming(4/23/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MS
MURIEL SIEBERT & CO., LLC
MURIEL SIEBERT & CO., INC. | MURIEL SIEBERT & CO., LLC
CRD#: 5376 / SEC#: , 8-14900
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
300 Vesey Street 5th Floor, New York, NY, 10282
Mailing Address
653 Collins Avenue, Miami Beach, FL 33139
Phone number
(800) 872-0444
Established
Delaware since 01/01/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIEBERT FINANCIAL CORPORATION | PARENT COMPANY | |
| BENDER, KYLE ROBERT | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ("ROSFP") | 2287329 |
| BONO, RONALD ROSS | CUSTOMER RELATIONSHIP OFFFICER | 1247269 |
| COLOMBINO, MICHAEL JONATHAN | CHIEF FINANCIAL OFFICER/BOARD MEMBER | 4871852 |
| GEBBIA, GLORIA ESTELLE | BOARD MEMBER | 2126152 |
| GEBBIA, JOHN MICHAEL | CO-CEO/BOARD MEMBER | 1866455 |
| GEBBIA, RICHARD SAL | CO-CEO/BOARD MEMBER | 2348552 |
| REICH, ANDREW HENRY | BOARD MEMBER | 1966909 |
| SCUTERI, FREDRICK PAUL | CHIEF OPERATING OFFICER | 2623915 |
| SOSNOWSKI, PETER JAMES | NATIONAL SALES MANAGER | 1540143 |
| VILLELLA, BARBARA DUNNE | CCO/AMLCO | 1719722 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
