MENDOZA AND ASSOCIATES, INC.
MENDOZA AND ASSOCIATES, INC. of ROCKY HILL, CT is an SEC-registered investment adviser (CRD 125579). Regulatory assets under management: $42.5M.
Registration
- CRD: 125579
- SEC file number: 801-68082
- Type: Registered investment adviser
- Location: 35 COLD SPRING ROAD, SUITE 114, ROCKY HILL, CT, 06067
- Phone: (860) 563-1319
- Latest filing: 2012-06-07
- Regulatory AUM: $42.5M
- Discretionary AUM: $33.5M
- Non-discretionary AUM: $9.0M
- Clients: 1
- Accounts: 220
Officers, owners & control persons (3)
| Name | Role | Location |
|---|
| MENDOZA KENNETH GEORGE | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| MENDOZA MICHAEL DAVID | CHIEF COMPLIANCE OFFICER; PRESIDENT; VICE-PRESIDENT | — |
| MENDOZA NANCY BAXTER | SECRETARY/TREASURER/DIRECTOR | — |
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