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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst26 years in industry

IVAN MIGUEL MENDOZA

Advisor at MENDOZA PRIVATE WEALTH

NORTH MIAMI, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 22, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MENDOZA PRIVATE WEALTH
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 22, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst
Exams: S66|S63|S65
First exam: Nov 16, 1999
First registration: Oct 22, 1999
Dual registered: no
IAPD individual key: 4013969

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MENDOZA PRIVATE WEALTH	Independent wealth	Jan 19, 2024	n/a	yes	NORTH MIAMI, FL	Current employment
WELLS FARGO ADVISORS	Wirehouse	Apr 15, 2016	Jan 31, 2024	no	DORAL, FL	Previous registration
ALLIANCEBERNSTEIN L.P.	Other adviser	Feb 28, 2012	Apr 19, 2016	no	MIAM, FL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Oct 22, 1999	Aug 15, 2005	no	CORAL GABLES, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	MENDOZA PRIVATE WEALTH	Jan 31, 2024	Jan 19, 2024	-12	Firm change	Wirehouse to new firm
ALLIANCEBERNSTEIN L.P.	WELLS FARGO ADVISORS	Apr 19, 2016	Apr 15, 2016	-4	Firm change	Other
PRUCO SECURITIES, LLC	ALLIANCEBERNSTEIN L.P.	Aug 15, 2005	Feb 28, 2012	2,388	Firm change after gap	Other

Relationships

Registered with (4)

→ MENDOZA PRIVATE WEALTHRegistered adviserregistration: current employment
Jan 19, 2024 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 15, 2016 to Jan 31, 2024factForm ADV
→ ALLIANCEBERNSTEIN L.P.Registered adviserregistration: previous registration
Feb 28, 2012 to Apr 19, 2016factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Oct 22, 1999 to Aug 15, 2005factForm ADV

Dated events

Occurred
Jan 31, 2024
Advisor changed firm
Ivan Miguel Mendoza left Wells Fargo Advisors for Mendoza Private Wealth (registered 2024-01-19)
Form ADVobserved 5 days ago