RIA Intelligence

MENDOZA AND ASSOCIATES, INC.

CRD #125579 SEC #801-68082 ROCKY HILL, CT (860) 563-1319
SEC Registered
Total AUM
$42.5M
Discretionary
$33.5M
Employees
1
Clients
51
Accounts
220

Firm Details

Organization Type
Corporation
State of Formation
Connecticut
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 8, 2012
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
MENDOZA, MICHAEL, DAVIDIVICE-PRESIDENTNA Control
MENDOZA, MICHAEL, DAVIDIVICE-PRESIDENTNA Control
MENDOZA, MICHAEL, DAVIDIVICE-PRESIDENTNA Control
MENDOZA, MICHAEL, DAVIDIVICE-PRESIDENTNA Control
MENDOZA, MICHAEL, DAVIDIVICE-PRESIDENTNA Control
MENDOZA, NANCY, BAXTERISECRETARY/TREASURER/DIRECTORNA
MENDOZA, NANCY, BAXTERISECRETARY/TREASURER/DIRECTORNA
MENDOZA, NANCY, BAXTERISECRETARY/TREASURER/DIRECTORNA
MENDOZA, KENNETH, GEORGEIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
MENDOZA, KENNETH, GEORGEIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
MENDOZA, KENNETH, GEORGEIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
MENDOZA, KENNETH, GEORGEIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
MENDOZA, KENNETH, GEORGEIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
MENDOZA, MICHAEL, DAVIDICHIEF COMPLIANCE OFFICERE Control
MENDOZA, MICHAEL, DAVIDIPRESIDENTE Control
MENDOZA, MICHAEL, DAVIDICHIEF COMPLIANCE OFFICERE Control
MENDOZA, MICHAEL, DAVIDIPRESIDENTE Control
MENDOZA, MICHAEL, DAVIDICHIEF COMPLIANCE OFFICERE Control
MENDOZA, MICHAEL, DAVIDIPRESIDENTE Control

Registrations

Federal

IA
Mar 8, 2012 REGISTERED

Notice Filings (2)

CT TX

Address

35 COLD SPRING ROAD
SUITE 114
ROCKY HILL, CT 06067
United States
Phone: (860) 563-1319