SM
Sergio Mendoza
PRINCIPAL SECURITIES
JEROME, ID 83338
Some features on this profile are disabled
CRD#: 7415499
SM
Professional summary
Sergio Mendoza is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Jerome, Idaho.
Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Sergio has worked at 2 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
**MENDOZA'S FURNITURE PROPERTIES, LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/19/2019 ADDRESS: 123 W Main St, Jerome ID 83338 DESCRIPTION: Owner. No operating. This entity serves for the sole purpose of listing all properties owned by the furniture store. It's an extra protected layer for liability. **KOINONIA INVESTMENT GROUP, LLC POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/02/2022 ADDRESS: 752 Addison Ave, Twin Falls ID 83301 DESCRIPTION: Partner. Responsibilities were to assist the group in flipping homes. I decide if we buy a home, help get contractors to come into the home to remodel and decide when it's ready to be listed on the real estate market. **MENDOZA'S FURNITURE LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2015 ADDRESS: 123 W Main St., Jerome ID 83338 DESCRIPTION: Owner. This entity is the owner of the DBA The Liquidation Center. **IDAHO WORKFORCE DEVELOPMENT COUNCIL POSITION: Council Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2023 ADDRESS: 514 W. Jefferson St., Boise ID 83702 DESCRIPTION: Council Member. I was appointed by Governor Little. Responsibility is to take part in the quarterly meetings. The organizations' goal is to implement an infrastructure that improves Idaho's economy through education and training. Within the organization, I'm involved in the grant committee where we review proposals from universities, businesses, and organizations seeking funds to better their training or create a program that improves Idaho's workforce. **THE LIQUIDATION CENTER POSITION: Owner NATURE: Furniture Business INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 07/01/2018 ADDRESS: 123 W Main St, Jerome ID 83338 DESCRIPTION: I am the owner of this business. My responsibility is partially administrative. I assist the business in payroll and product orders. **SOUTH CENTRAL IDAHO HISPANIC CHAMBER OF COMMERCE POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2021 ADDRESS: 752 Addison Ave, Twin Falls ID 83301 DESCRIPTION: Treasurer. Responsibility is to give chamber a monthly update on the organization's financials. The chamber offers membership services to businesses that would like to join. They host networking events and offer resources to local businesses. All check writing requires two signatures. I would not be able to write a check myself from the chamber. **VIDEO MEXICO OF TWIN FALLS, LLC POSITION: Payroll Assistant NATURE: Contractor INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2025 ADDRESS: 123 W Main St., Jerome ID 83338 DESCRIPTION: Payroll Assistant. My responsibility is to run the payroll for Video Mexico. Video Mexico is a family business that's in retail and offers services such check cashing and wire transfers. I'm not involved in any of the operations. I assist my mother, owner of the business, with her employee's payroll and monthly sales tax report. **SM PROPERTY DEVELOPMENT LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/14/2022 ADDRESS: 123 W Main St, Jerome ID 83338 DESCRIPTION: Owner. No responsibilities. This LLC was created as a protective layer to invest in Koinonia Investment Group. It's also investing in rental properties.
CRS (Client Relationship Summary) - RIA
Click below to view Sergio Mendoza's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sergio 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
July 24, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 117 W Main St , Jerome, ID 83338RIA
BD
CRD#: 1137
JEROME, ID
Current
July 24, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 117 W Main St , Jerome, ID 83338RIA
BD
CRD#: 1137
JEROME, ID
Past
October 13, 2021 - July 25, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Jerome, ID
Past
September 20, 2021 - July 25, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Jerome, ID
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(7/24/2025)
RR
California(7/24/2025)
RR
Idaho(7/24/2025)
IAR
Idaho(7/24/2025)
RR
Nebraska(7/24/2025)
RR
Nevada(7/24/2025)
RR
Oregon(7/24/2025)
RR
Utah(7/24/2025)
RR
Washington(7/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/24/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 9/20/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Jerome, ID 83338TRUST BUT VERIFY
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