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Daniel William Mendoza

PROSPECT CAPITAL ADVISORS, LLC·SAUSALITO, California
Series 7Clean record25 years registeredPROSPECT CAPITAL ADVISORS, LLC
501 HUMBOLDT AVENUE, 2ND FLOOR, SAUSALITO, CA 94965CRD# 2273186Firm CRD# 119531

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Daniel William Mendoza · SAUSALITO, CA
Registration
CRD #2273186 · PROSPECT CAPITAL ADVISORS, LLC · 25 years registered
Brand Profile
Not yet started
01

Career History

PROSPECT CAPITAL ADVISORS, LLC
Jan 2001 – present
02

Registrations & Exams

FINRA examinations passed
Series 7
Registration record
First registered · January 25, 2001
Years registered · 25
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
PROSPECT CAPITAL ADVISORS, LLC
CRD 119531 · SEC 801-100384
AUM
$440M
Regulatory assets under management
Employees
3
4 client accounts
Services offered by PROSPECT CAPITAL ADVISORS, LLC
Per Form ADV
Pension consulting
Client types served by the firm
Per Form ADV
Pension & Retirement Plans
View all advisors at PROSPECT CAPITAL ADVISORS, LLC →
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05

Frequently Asked Questions

What services does Daniel William Mendoza offer?
Daniel William Mendoza specializes in Retirement Planning. Contact their office in SAUSALITO, California for a consultation.
What are Daniel William Mendoza's credentials?
Daniel William Mendoza is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Daniel William Mendoza located?
Daniel William Mendoza is based in SAUSALITO, California, working with PROSPECT CAPITAL ADVISORS, LLC. Their office serves clients in the SAUSALITO metropolitan area and surrounding communities.
How does Daniel William Mendoza charge for services?
Daniel William Mendoza's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is PROSPECT CAPITAL ADVISORS, LLC?
PROSPECT CAPITAL ADVISORS, LLC has approximately 3 employees and manages $440M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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