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ERNEST RICHARD MENDOZA
RICHARD MENDOZA
CRD#: 2845828
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 14100 SAN PEDRO AVE
SUITE 415
SAN ANTONIO, TX 78232
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 14100 SAN PEDRO AVE
SUITE 415
SAN ANTONIO, TX 78232
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 1997 (<1 year)2 FIRMS2000 - 2006 (6 years)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - Present (16 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2006 - Present (18 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)1999 - 2000 (<1 year)BINTERSECURITIES, INC. (CRD# 16164)1998 - 1999 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1997 - 1998 (<1 year)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2006 - 2009 (2 years)
License(s)

State Registrations

B
Arkansas 6/21/2012

B
Mississippi 5/5/2015

B
California 3/10/2008

IA
Mississippi 5/11/2015

B
District of Columbia 9/29/2017

B
Ohio 1/3/2012

B
Florida 3/13/2015

B
Tennessee 10/8/2024

B
Illinois 9/1/2021

B
Texas 5/26/2006

B
Louisiana 4/17/2008

IA
Texas 1/2/2009

B
Maryland 9/29/2017

B
Virginia 12/4/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
14100 SAN PEDRO AVE SUITE 415, SAN ANTONIO, TX 78232
Registered with this firm since 1/2/2009

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
14100 SAN PEDRO AVE SUITE 415, SAN ANTONIO, TX 78232
Registered with this firm since 5/26/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/06/2006 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) SAN ANTONIO, TX
IA
01/10/2000 - 06/05/2006 WADDELL & REED, INC. (CRD#:866) SAN ANTONIO, TX
B
01/10/2000 - 06/05/2006 WADDELL & REED, INC. (CRD#:866) SAN ANTONIO, TX
B
03/30/1999 - 01/18/2000 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
12/02/1998 - 03/11/1999 INTERSECURITIES, INC. (CRD#:16164) PHILADELPHIA, PA
B
05/20/1997 - 04/29/1998 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
04/07/1997 - 05/08/1997 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
04/07/1997 - 05/08/1997 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
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.