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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2020-02-03 |
Branch Locations
35 Cold Spring Rd Ste 114, Rocky Hill, CT 06067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | Rocky Hill | CT | 04/1999 | 01/2020 |
| Mendoza & Associates, Inc. | Rocky Hill | CT | 01/2011 | Present |
| Mendoza & Associates, Inc. | Rocky Hill | CT | 04/2012 | 02/2020 |
| Mendoza & Associates, Inc. | Rocky Hill | CT | 05/2001 | 01/2020 |
| Lpl Financial Llc | Rocky Hill | CT | 02/2020 | Present |
1)2/3/20-Mendoza & Associates, Inc. -DBA for LPL Business (entity for LPL business)- Inv. Related- Rocky Hill, CT -160hrs/mth- 100% 2)2/3/20- Mendoza & Associates, Inc.- Insurance Agency- Inv. Related- -Rocky Hill, CT- start dat 4/1/199- 20hrs/mth- 5% 3)2/3/20- - Notary- Inv. Related- Rocky Hill, CT - start dat 6/16/16- 1hr/mth-1%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-12 |
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