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Michael David Mendoza

MENDOZA AND ASSOCIATES, INC.·ROCKY HILL, Connecticut
SIE, Series 6, Series 7, Series 24, Series 63, Series 65ChFCClean record25 years registeredMENDOZA AND ASSOCIATES, INC.
35 COLD SPRING ROAD, ROCKY HILL, CT 06067CRD# 3221805Firm CRD# 125579

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Michael David Mendoza · ROCKY HILL, CT
Registration
CRD #3221805 · MENDOZA AND ASSOCIATES, INC. · 25 years registered
Brand Profile
Not yet started
01

Career History

LPL FINANCIAL LLC
Feb 2020 – present
MENDOZA & ASSOCIATES, INC.
May 2001 – Mar 2020
ROCKY HILL, CT
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 7
Series 24
Series 63
Series 65
Registration record
First registered · May 4, 2001
Years registered · 25
Professional designation · ChFC
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
MENDOZA AND ASSOCIATES, INC.
CRD 125579 · SEC 801-68082
AUM
$43M
Regulatory assets under management
Employees
1
220 client accounts
Services offered by MENDOZA AND ASSOCIATES, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at MENDOZA AND ASSOCIATES, INC. →
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05

Frequently Asked Questions

What services does Michael David Mendoza offer?
Michael David Mendoza specializes in Financial Planning, Investment Management. Contact their office in ROCKY HILL, Connecticut for a consultation.
What are Michael David Mendoza's credentials?
Michael David Mendoza holds the following professional designations: ChFC. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Michael David Mendoza located?
Michael David Mendoza is based in ROCKY HILL, Connecticut, working with MENDOZA AND ASSOCIATES, INC.. Their office serves clients in the ROCKY HILL metropolitan area and surrounding communities.
How does Michael David Mendoza charge for services?
Michael David Mendoza's firm is compensated through percentage of aum, subscription fees, other: share in 3rd party manager fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is MENDOZA AND ASSOCIATES, INC.?
MENDOZA AND ASSOCIATES, INC. has approximately 1 employees and manages $43M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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