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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

LUIS ALBERTO MENDOZA

Advisor at TRUIST ADVISORY SERVICES, INC.

POTOMAC, MD

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Search this name across graphsid dfx:ria:4530a4fb-eac3-1b7a-f459-7b3a0f29eb13

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2002 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: TRUIST ADVISORY SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 13, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 13, 2001
First registration: Feb 22, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4373652

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
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Aug 18, 2016	n/a	yes	POTOMAC, MD	Current employment
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jun 1, 2007	Jan 12, 2015	no	WASHINGTON, DC\|ALEXANDRIA, VA\|WASHINGTON, DC\|BETHESDA, MD\|ARLINGTON, VA\|WASHINGTON, DC\|POTOMAC, MD\|ARLINGTON, VA\|ALEXANDRIA, VA\|FAIRFAX, VA\|WASHINGTON, DC\|WASHINGTON, DC\|Tysons, VA\|ROCKVILLE, MD	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Feb 10, 2004	Feb 28, 2007	no	VIENNA, VA\|WASHINGTON, DC\|WASHINGTON, DC	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 22, 2002	Feb 3, 2004	no	CHEVY CHASE, MD	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
HSBC SECURITIES (USA) INC.	TRUIST ADVISORY SERVICES, INC.	Jan 12, 2015	Aug 18, 2016	584	Firm change after gap	Other
SUNTRUST INVESTMENT SERVICES, INC.	HSBC SECURITIES (USA) INC.	Feb 28, 2007	Jun 1, 2007	93	Firm change	Other
MORGAN STANLEY DW INC.	SUNTRUST INVESTMENT SERVICES, INC.	Feb 3, 2004	Feb 10, 2004	7	Firm change	Other

Relationships

Registered with (4)

→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: current employment
Aug 18, 2016 to presentfactForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jun 1, 2007 to Jan 12, 2015factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Feb 10, 2004 to Feb 28, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 22, 2002 to Feb 3, 2004factForm ADV

Dated events

No dated event names this entity yet.