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
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.
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