Individual Firm
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ROBERT JOSEPH GREGORY MENDOZA
RJ GREGORY MENDOZA, ROBERT JOSEPH MENDOZA, ROBERT SILVESTRE MENDOZA, ROBERT MENDOZA, ROBERTJOSEPH GREGORY MENDOZA
CRD#: 4136489
IA
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BAILARD, INC.CRD#: 110550 950 TOWER LN
STE 1900
FOSTER CITY, CA 94404-2131
STE 1900
FOSTER CITY, CA 94404-2131
View By:
7/7/2020
Employment Separation After Allegations
State Registrations
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California 7/26/2023
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Registered with this firm since 7/26/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/23/2020 - 05/18/2023 | WALNUT CREEK, CA | |
B | 10/22/2020 - 05/18/2023 | WALNUT CREEK, CA | |
IA | 09/06/2016 - 08/04/2020 | San Francisco, CA | |
B | 09/06/2016 - 08/04/2020 | San Francisco, CA | |
IA | 11/05/2015 - 09/06/2016 | SAN FRANCISCO, CA | |
B | 11/04/2015 - 09/06/2016 | SAN FRANCISCO, CA | |
IA | 03/20/2014 - 11/03/2015 | SAN FRANCISCO, CA | |
B | 03/20/2014 - 11/03/2015 | SAN FRANCISCO, CA | |
B | 08/12/2013 - 01/29/2014 | HAYWARD, CA | |
IA | 08/20/2013 - 12/31/2013 | SCOTTSDALE, AZ | |
IA | 07/20/2010 - 07/29/2013 | EAST PALO ALTO, CA | |
B | 07/16/2010 - 07/29/2013 | EAST PALO ALTO, CA | |
IA | 06/01/2009 - 06/18/2010 | SAN JOSE, CA | |
B | 06/01/2009 - 06/18/2010 | SAN JOSE, CA | |
IA | 12/10/2007 - 06/01/2009 | SAN JOSE, CA | |
B | 04/23/2007 - 06/01/2009 | SAN JOSE, CA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.