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Sergio Mendia

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

New York, NY

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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 2025-01-13
CA RA APPROVED 2024-01-26
  • TX RA
    APPROVED
    Since 2025-01-13
  • CA RA
    APPROVED
    Since 2024-01-26

Branch Locations

2555-2595 W Chandler Blvd Global Human Resources- The Academy, Chandler, AZ 85224 • United States

One Bryant Park, New York, NY 10036 • 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 Chandler AZ 08/2018 Present
Unemployed Gilbert AZ 02/2018 08/2018
Liberty Mutual Phoenix AZ 05/2016 02/2018
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-01-08
  • S66 Uniform Combined State Law Examination
    2024-01-08

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

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