Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Mendoza is a financial professional with over 20 years of experience in the securities industry. Catherine is currently registered with J.P. Morgan Securities LLC and has a strong track record of success in providing financial advice and investment management services to a diverse range of clients. Prior to joining J.P. Morgan Securities, Catherine was employed at Oppenheimer & Co. Inc., CIBC World Markets Corp., and Bear, Stearns & Co. Inc. Catherine holds a Series 7, Series 63, Series 66, Series 99TO and SIE licenses, demonstrating her commitment to professional development and expertise. Catherine is dedicated to providing personalized financial guidance and helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
IL
06/27/2005 - Present
J.p. Morgan Securities LLC (CHICAGO IL)
NY
01/03/2003 - 07/05/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
01/28/2002 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
10/19/1999 - 02/06/2002
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BOTH
Issued 11/02/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/09/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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