CARLOS ROMERO MENDOZA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1300 OLIVER ROAD, #180, FAIRFIELD, CA, 94534.
CARLOS ROMERO MENDOZA has worked at LPL FINANCIAL LLC since March 02, 2017
Disclosure History
CARLOS ROMERO MENDOZA has 2 Disclosure Event(s).
Date: February 27, 2001 Category: Regulatory Initiated By: California Department of Insurance Allegations: The California Insurance Commissioner denied Mr. Mendoza's application for an unrestricted license and issued a restricted license. Resolution: Order Sanctions: Restricted insurance license. Broker Comment: This was based on a criminal charge from 1995. I disclosed the charge on my insurance application, and on every subsequent applications since. I also disclosed it to my broker-dealer at the time, and was told that it didn't need to be reported on my Form U4 because it was related to my insurance license.
Date: March 14, 1995 Category: Criminal Charges: ONE COUNT, GRAND THEFT OF PERSONAL PROPERTY, MISDEMEANOR, NOLO CONTEST, AND WAS NOT INVESTMENT RELATED Charge Type: MISDEMEANOR Disposition: CONVICTED, 5/01/95, SIX DAYS WORK RELEASE AND THREE YEARS OF PROBATION, IT BEGAN ON 05/01/1995, I HAD TO PAY $369 OF FINES WHICH WERE PAID ON 05/15/1996. Broker Comment: ON 03/14/1995 I ALLOWED A FRIEND I KNEW FROM HIGH SCHOOL TO TAKE PROPERTY FROM THE STORE I WAS WORKING AT. I PLEAD NO CONTEST TO THE CHARGES. ON JULY 17, 2000 UNDER PENAL CODE 1203.4(A), THE PLEA WAS REVERSED TO NOT GUILTY AND THE CHARGES WERE DISMISSED.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for CARLOS ROMERO MENDOZA, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.