Michael David Mendoza

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 04/1999 → 01/2020
  Royal Alliance 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
  Mendoza & Associates, Inc.
  Rocky Hill, CT
• 02/2020 → Present
  Lpl Financial Llc
  Rocky Hill, CT

Previous Registrations

• 2001-05-04 → 2020-03-27
  Mendoza & Associates, Inc.
  Rocky Hill, CT

Other Businesses

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%

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-31
• S63 Uniform Securities Agent State Law Examination
  1999-07-12

Designations

• Chartered Financial Consultant

Other Names

• Mike David Mendoza