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FERNANDO RENE MENDOZA
FERNANDO MENDOZA, FRANK MENDOZA
CRD#: 5136037
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 3172 COLLINS DR
STE A
MERCED, CA 95348-3131
Registration History
200620082010201220142016201820202022202420262 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2024 (10 years)2 FIRMS2024 - Present (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)BWAMU INVESTMENTS, INC. (CRD# 599)2006 - 2009 (2 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)
License(s)

State Registrations

B
California 11/22/2024

B
Oregon 11/22/2024

IA
California 11/22/2024

B
Washington 11/22/2024

B
New Mexico 11/22/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3172 COLLINS DR STE A, MERCED, CA 95348-3131
Los Banos, CA
Registered with this firm since 11/22/2024

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
3172 COLLINS DR STE A, MERCED, CA 95348-3131
Los Banos, CA
Registered with this firm since 11/22/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/29/2014 - 11/29/2024 WELLS FARGO ADVISORS (CRD#:19616) LOS BANOS, CA
B
05/28/2014 - 11/29/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) LOS BANOS, CA
IA
10/01/2012 - 06/09/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) TURLOCK, CA
B
10/01/2012 - 06/09/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) TURLOCK, CA
IA
08/17/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TURLOCK, CA
B
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TURLOCK, CA
B
06/16/2006 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) LOS BANOS, CA
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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.