Roy Mendoza
Roy Mendoza is a registered investment advisor at RBC Capital Markets, LLC, based in San Francisco, CA, with 34 years of industry experience. Roy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
345 California Street, San Francisco, CA, 94104-2642
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Regulatory History (1)
Customer Dispute
January 2004Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
RBC Capital Markets, LLC
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Banc of America Securities LLCBroker
Hambrecht & Quist LLCBroker
Dean Witter Reynolds INC.Broker
Baraban Securities, INC.Broker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.