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Detailed Report
Roberta Ruby Mendoza
ROBERTA I MENDOZA, ROBERTA ILDA MENDOZA, ROBERTA RUBY MENDOZA, ROBERTA MENDOZA, RUBY MENDOZA…
CRD#: 2802833
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 555 California Street
35Th Floor
San Francisco, CA 94104
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2025 - Present (<1 year)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2008 - 2009 (<1 year)BWORLD GROUP SECURITIES, INC. (CRD# 114473)2002 - 2008 (6 years)BWMA SECURITIES, INC. (CRD# 32625)2000 - 2002 (1 year)BWMA SECURITIES, INC. (CRD# 32625)1996 - 2000 (3 years)IACERITY PARTNERS LLC (CRD# 151559)2022 - 2024 (2 years)IAB|O|S (CRD# 110496)2020 - 2021 (<1 year)
License(s)

State Registrations

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Alabama 3/3/2025
B
Nebraska 3/3/2025
B
Alaska 3/3/2025
B
Nevada 3/3/2025
B
Arizona 3/3/2025
B
New Hampshire 3/3/2025
B
Arkansas 3/3/2025
B
New Jersey 3/3/2025
IA
California 2/7/2025
B
New Mexico 3/3/2025
B
California 2/28/2025
B
New York 3/3/2025
B
Colorado 3/3/2025
B
North Carolina 3/3/2025
B
Connecticut 3/3/2025
B
North Dakota 3/3/2025
B
Delaware 3/3/2025
B
Ohio 3/4/2025
B
District of Columbia 3/3/2025
B
Oklahoma 3/3/2025
B
Florida 3/3/2025
B
Oregon 3/3/2025
B
Georgia 3/3/2025
B
Pennsylvania 3/3/2025
B
Hawaii 3/3/2025
B
Puerto Rico 3/3/2025
B
Idaho 3/3/2025
B
Rhode Island 3/3/2025
B
Illinois 3/3/2025
B
South Carolina 3/3/2025
B
Indiana 3/3/2025
B
South Dakota 3/3/2025
B
Iowa 3/3/2025
B
Tennessee 3/3/2025
B
Kansas 3/3/2025
B
Texas 3/3/2025
B
Kentucky 3/3/2025
IA
Texas 3/10/2025
B
Louisiana 3/3/2025
B
Utah 3/3/2025
B
Maine 3/3/2025
B
Vermont 3/3/2025
B
Maryland 3/3/2025
B
Virgin Islands 3/3/2025
B
Massachusetts 3/3/2025
B
Virginia 3/3/2025
B
Michigan 3/3/2025
B
Washington 3/3/2025
B
Minnesota 3/3/2025
B
West Virginia 3/3/2025
B
Mississippi 3/3/2025
B
Wisconsin 3/3/2025
B
Missouri 3/3/2025
B
Wyoming 3/3/2025
B
Montana 3/3/2025

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
555 California Street 35Th Floor, San Francisco, CA 94104
Registered with this firm since 2/7/2025
B
MORGAN STANLEY (CRD#:149777)
555 California Street 35Th Floor, San Francisco, CA 94104
Registered with this firm since 2/6/2025
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/09/2022 - 11/22/2024 CERITY PARTNERS LLC (CRD#:151559) SAN FRANCISCO, CA
IA
 12/22/2020 - 11/01/2021 B|O|S (CRD#:110496) SAN FRANCISCO, CA
B
 07/29/2008 - 03/05/2009 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) FOSTER CITY, CA
B
 04/12/2002 - 07/14/2008 WORLD GROUP SECURITIES, INC. (CRD#:114473) DULUTH, GA
B
 05/30/2000 - 04/12/2002 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
B
 11/18/1996 - 02/08/2000 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.