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Carlo Fernandez Mendoza

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Henderson, NV

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-08-29
NV RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-08-29
  • NV RA
    APPROVED
    Since 2009-10-23

Branch Locations

450 N Stephanie St, Henderson, NV 89014 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Las Vegas NV 10/2009 Present
Bank Of America, N.A. Henderson NV 05/2011 Present
Previous Registrations
  • 2002-04-11 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Henderson, NV
    Henderson, NV
    Las Vegas, NV
    Las Vegas, NV
    Henderson, NV
    Henderson, NV
    Las Vegas, NV
    Overton, NV
    Henderson, NV
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-02-11
S63 Uniform Securities Agent State Law Examination 1998-08-28
  • S65 Uniform Investment Adviser Law Examination
    2002-02-11
  • S63 Uniform Securities Agent State Law Examination
    1998-08-28

View on SEC IAPD

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