linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

David Anthony Mendoza

Rockefeller Financial LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you David? Claim Your Profile

About David Anthony Mendoza

David Anthony Mendoza is a financial advisor registered in the state of California, with over 40 years of experience in the financial industry. David is currently registered as a broker with Rockefeller Financial LLC and a Registered Investment Advisor with both Rockefeller Financial LLC and Rockefeller Capital Management. David provides financial planning services to individuals, corporations, and charitable organizations. David works out of the Los Gatos branch of Rockefeller Financial LLC.

Firm Information

David Mendoza is currently registered with Rockefeller Financial LLC. Rockefeller Financial LLC is a Limited Liability Company formed in 2017 and headquartered in New York, NY. The firm has over 500 employees and manages over $50 billion in assets for clients including high-net-worth individuals, corporations, and charitable organizations. Their services include financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals. They are registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.
Rockefeller Financial LLC

45 ROCKEFELLER PLAZA

NEW YORK, NY 10111

$51.82B

Assets Under Management

161

Total Clients

747

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

David Mendoza’s Registration & Firm History

CA

05/30/2022 - Present

Rockefeller Financial LLC (San Francisco CA)

CA

01/13/1981 - 06/03/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)

NA

08/25/1978 - 02/13/1981

E. F. HUTTON & COMPANY INC

Not sure if David Anthony Mendoza is right for you?

Licenses & Designations

IA

Issued 11/26/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/19/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/1978

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Anthony Mendoza.
Not sure if David Anthony Mendoza is right for you?