Tuesday, October 27, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
WM $1.1B Georgia Team Leaves Raymond James for IndependenceIN Jailed Florida broker, facing sexual battery charge, ghosts FINRA.WM Why Access, Not Appetite, Is Holding Advisors Back in AlternativesIN Schwab IMPACT 2026 set to kick off in BostonWM 12 Investment Must Reads for This Week (Oct. 27, 2026)WM RIA Edge Podcast: Scaling RIAs While Preserving Advisor Control with Jim DicksonWSR Deals & Recruiting Roundup: Modern, Latigo, Janney, Ameriprise And MoreWSR SurgeONE.ai Adds Avery Actions To Compliance PlatformWT Jump’s CEO Shares How Advisors and AI Agents Divide Up the WorkIN Hedge funds belong at the core of portfolios, report reveals

Adviser and broker representative · UBS Financial Services Inc.

Karina Mendoza

CRD 6559310 · La Jolla, CA

At a glance

Karina Mendoza is an investment adviser representative with UBS Financial Services Inc. in La Jolla, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Karina’s SEC record dates to 2020, about 6 years ago. Karina is also registered as a broker representative.

Current advisory firm

SEC adviser record

Registered since
2020 (6 years)
Designations
None on file
Exams
Series 66
Registered in
1 state
Also a broker representative
Yes
Disclosures on record
None

AtlasMembers

Karina’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
Locked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.

More at UBS Financial Services Inc.

Every advisor at UBS Financial Services Inc. →UBS Financial Services Inc.: assets, clients and custodians →UBS news, moves and payouts →Financial advisors in La Jolla, CA →Every UBS Financial Services Inc. advisor in La Jolla →Advisor Moves: who changed firms this week →