George Peralta Mendoza

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/1995 → Present
  Osaic Wealth, Inc.
  Downey, CA
• 08/2016 → Present
  Regal Advisory Services, Inc.
  Seal Beach, CA

Previous Registrations

• 2016-08-03 → 2026-03-06
  Regal Advisory Services, Inc.
  Seal Beach, CA
  Woodland Hills, CA
• 1998-01-06 → 2016-03-29
  Regal Advisory Services, Inc.
  Woodland Hills, CA
  Seal Beach, CA

Other Businesses

1. GPM FINANCIAL CORPORATION, INVESTMENT RELATED, 6243 TURNERGROVE DRIVE, LAKEWOOD, CA 90713, OWNER, STARTED 1/20/2010, 10 HOURS PER MONTH, 5 HOURS PER MONTH DURING STH,PROVIDE LIFE INSURANCE OPTIONS TO NEW AND EXISTING CLIENTS FOR ESTATE PLANNING PURPOSES. 2. GPM FINANCIAL CORPORATION, NON INVESTMENT RELATED, 6243 TURNERGROVE DR, LAKEWOOD, CA 90713, OWNER, STARTED 01/12/2010, 34 HOURS PER MONTH, 1 HOUR PER MONTH DURING STH, OWNER OF DBA. 4. KM FINANCIAL GROUP INC, NON INVESTMENT RELATED, 12151 RICE DRIVE, TUSTIN, CA 92872, PARTNER, STARTED 4/1/2003, 34 HOURS PER MONTH, 1 HOURS PER MONTH DURING STH, PARTNER OF DBA. 5. REGAL ADVISORY SERVICES, INVESTMENT RELATED,21800 BURBANK BLVD WOODLAND HILLS, CA 91367, INVESTMENT ADVISORY REPRESENTATIVE, STARTED 6/6/1995, 0 HOURS PER MONTH, 0 HOURS PER MONTH DURING STH, PROVIDE ADVISORY CLIENTS WITH INVESTMENT ADVICE ON A FEE BASED ARRANGEMENT. 3. GEORGE P MENDOZA TAX SERVICE POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2009 ADDRESS: 3020 Old Ranch Pkwy #300, Seal Beach CA 90740, United States DESCRIPTION: Provide tax preparation services for new and existing clients. 4. INSURANCE POSITION: Insurance Agent NATURE: This is a deal direct relationship with Equitrust Life and Jackson Nat Life to sell fixed annuities. This activity generates commission directly to me personally. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/20/2010 ADDRESS: 3020 Old Ranch Pkwy, #300, Seal Beach CA 90740, United States DESCRIPTION: This is a deal direct insurance sales for fixed annuities and life insurance. Commissions are paid to me personally. This was initially encompassed in OBA with GPM Financial Corp but AG auditor Mike Bille requested to separate it out. 5. REGAL ADVISORY SERVICES POSITION: Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 05/19/2026 ADDRESS: 5959 Topanga Canyon Blvd, Ste. 180, Woodland Hills CA 91367, United States DESCRIPTION: Using Regal Advisory Services as a DBA for marketing only instead of Osaic. I have a Regal email and a website.

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-03-21

Other Names

• George Mendoza