Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Albert Mendoza is a financial advisor with RBC Capital Markets, LLC. Roy Mendoza has 30 years of experience in the financial industry. Roy Albert Mendoza is registered with FINRA and the state of California. He has a Series 7, Series 31, and Series 63 license, as well as the SIE. Roy Mendoza is also registered as an investment advisor representative in Texas. Roy Albert Mendoza has been registered with the Securities and Exchange Commission since 2021.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
10/27/2021 - Present
RBC Capital Markets, LLC (SAN FRANCISCO CA)
CA
01/24/2020 - 06/22/2021
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
CA
06/27/2014 - 02/11/2020
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
01/19/2006 - 06/23/2014
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
NY
05/08/2003 - 01/24/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
05/10/1999 - 04/23/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
06/26/1996 - 05/13/1999
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
04/16/1993 - 06/21/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CA
01/17/1992 - 04/16/1993
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 06/18/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 01/15/1992
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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