DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

FERNANDO RENE MENDOZA

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

MERCED, CA | Los Banos, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fa4a0488-4a14-e9db-8b8f-0ca2fb7f7ed8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 17, 2011 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: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 15, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 15, 2006
First registration: Aug 17, 2011
Dual registered: yes, broker-dealer
Other names: FERNANDO MENDOZA|FRANK MENDOZA
IAPD individual key: 5136037

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
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 22, 2024	n/a	yes	Los Banos, CA\|Los Banos, CA\|MERCED, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	May 29, 2014	Nov 29, 2024	no	FRESNO, CA\|LOS BANOS, CA\|MERCED, CA\|MERCED, CA\|MADERA, CA\|MADERA, CA\|MADERA, CA\|MADERA, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Jun 9, 2014	no	TURLOCK, CA\|LOS BANOS, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Aug 17, 2011	Oct 1, 2012	no	LOS BANOS, CA\|TURLOCK, CA	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	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 29, 2024	Nov 22, 2024	-7	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	WELLS FARGO ADVISORS	Jun 9, 2014	May 29, 2014	-11	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:6363:CA:2024-11-29	Nov 29, 2024	Nov 22, 2024	MADERA, CA	Firm change

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 22, 2024 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 29, 2014 to Nov 29, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Jun 9, 2014factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Aug 17, 2011 to Oct 1, 2012factForm ADV

Dated events

Occurred
Nov 29, 2024
Advisor changed firm
Fernando Rene Mendoza left Wells Fargo Advisors for Ameriprise Financial Services, Llc (registered 2024-11-22)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fa4a0488-4a14-e9db-8b8f-0ca2fb7f7ed8
First observed: Aug 17, 2011
Last observed: Sep 14, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FERNANDO RENE MENDOZA

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

MERCED, CA | Los Banos, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fa4a0488-4a14-e9db-8b8f-0ca2fb7f7ed8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:03 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Nov 22, 2024

n/a

yes

Los Banos, CA|Los Banos, CA|MERCED, CA

Current employment

WELLS FARGO ADVISORS

Wirehouse

May 29, 2014

Nov 29, 2024

Previous registration

J.P. MORGAN SECURITIES LLC

Wirehouse

Oct 1, 2012

Jun 9, 2014

TURLOCK, CA|LOS BANOS, CA

Previous registration

CHASE INVESTMENT SERVICES CORP.

Former SEC adviser

Aug 17, 2011

Oct 1, 2012

LOS BANOS, CA|TURLOCK, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

WELLS FARGO ADVISORS

AMERIPRISE FINANCIAL SERVICES, LLC

Nov 29, 2024

Nov 22, 2024

-7

Firm change

Wirehouse to ibd

J.P. MORGAN SECURITIES LLC

WELLS FARGO ADVISORS

Jun 9, 2014

May 29, 2014

-11

Firm change

Wirehouse to wirehouse

CHASE INVESTMENT SERVICES CORP.

J.P. MORGAN SECURITIES LLC

Oct 1, 2012

Bulk transfer

Other

Team

Left

Joined

From

Kind

19616:6363:CA:2024-11-29

Nov 29, 2024

Nov 22, 2024

MADERA, CA

Firm change