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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

KAREN VALERIE MENDOZA

Advisor at ANDBANC ADVISORY LLC

MIAMI, FL

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Search this name across graphsid dfx:ria:942d3fd3-dbc7-6ea4-1b29-9aeb17705854

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 5, 2007 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: ANDBANC ADVISORY LLC
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: Dec 3, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 3, 2007
First registration: Dec 5, 2007
Dual registered: yes, broker-dealer
Other names: MENDOZA VALERIE KAREN
IAPD individual key: 4517507

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
ANDBANC ADVISORY LLC	Independent wealth	Dec 17, 2015	n/a	yes	MIAMI, FL	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 7, 2015	no	Miami, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	May 14, 2009	Jun 1, 2009	no	MIAMI, FL	Previous registration
UBS INTERNATIONAL INC.	n/a	Dec 5, 2007	Jun 3, 2009	no	MIAMI, 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
MORGAN STANLEY	ANDBANC ADVISORY LLC	Dec 7, 2015	Dec 17, 2015	10	Firm change	Other
UBS INTERNATIONAL INC.	MORGAN STANLEY & CO. LLC	Jun 3, 2009	May 14, 2009	-20	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ ANDBANC ADVISORY LLCRegistered adviserregistration: current employment
Dec 17, 2015 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 7, 2015factForm ADV
→ UBS INTERNATIONAL INC.Registered adviserregistration: previous registration
Dec 5, 2007 to Jun 3, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
May 14, 2009 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.