Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Miguel? Claim Your ProfileMiguel Mendoza is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. based in New York, NY. Miguel is active in both broker-dealer and investment advisory roles. Miguel joined Merrill Lynch in May 2013. Prior to that, Miguel was registered with SANTANDER SECURITIES LLC, SANTANDER INTERNATIONAL SECURITIES, INC., TD WATERHOUSE INVESTOR SERVICES, INC., and AXA ADVISORS, LLC. Miguel has passed both state and product exams, including the Series 66, Series 63, Series 7 and SIE. Miguel holds registrations in 31 states.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
07/23/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
09/21/2012 - 04/30/2013
SANTANDER SECURITIES LLC (NEW YORK NY)
NY
05/04/2011 - 04/30/2013
SANTANDER INTERNATIONAL SECURITIES, INC. (NEW YORK NY)
NE
02/09/2004 - 03/30/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
10/16/2003 - 02/03/2004
AXA ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 10/21/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/13/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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