Kenneth Mendoza

Registrations Associate

Kenneth Mendoza is a Registrations Associate for RRS with over 25 years of experience. He is responsible for creating, amending, and submitting Form U4s, Form U5s, Form ADV Parts 1A and 1B, and Form BD. He also manages the creation and use of CRD/IARD reports. In addition, he handles broker-dealer and investment adviser renewals for both firms and agents. His responsibilities also include EFD filings, Form MAs, and Form MA-Is.

Regulatory Filings and Registration Support

Mr. Mendoza prepares Form BD, Form ADV Part 2, Part 2B, and Appendix 1, as applicable, for firms registering as broker-dealers or as SEC or state registered investment advisers. He also drafts application packages and prepares responses to regulatory deficiency letters.

Technology and Systems Support

Mr. Mendoza also assists with certain technology and website-related tasks and maintenance. These responsibilities include data backup, interaction with IT service providers, maintenance and tracking of hardware and software, and website maintenance.