Daniel Mendoza

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-08-21

NJ RA
APPROVED

Since 2025-08-21

Branch Locations

1000 & 1200 Harbor Blvd., Weehawken, NJ 07086 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Edward Jones	St Louis	MO	02/2017	11/2017
Unemployed	Elizabeth	NJ	10/2016	02/2017
Hobsons Inc.	Cincinnati	OH	01/2016	10/2016
Hennion & Walsh, Inc.	Parsippany	NJ	01/2018	06/2025
Ubs Financial Services, Inc	Weehawken	NJ	07/2025	Present

02/2017 → 11/2017

Edward Jones

St Louis, MO
10/2016 → 02/2017

Unemployed

Elizabeth, NJ
01/2016 → 10/2016

Hobsons Inc.

Cincinnati, OH
01/2018 → 06/2025

Hennion & Walsh, Inc.

Parsippany, NJ
07/2025 → Present

Ubs Financial Services, Inc

Weehawken, NJ

Previous Registrations

2018-01-29 → 2025-06-09

Hennion & Walsh Asset Management, Inc.

Parsippany, NJ
2017-07-10 → 2017-11-27

Edward Jones

Elizabeth, NJ

St Louis, MO

Basking Ridge, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-04-15

S66 Uniform Combined State Law Examination

2017-04-15