Richard Mercado
Richard Mercado is a registered investment advisor at Wells Fargo Advisors, based in Rochester, NY, with 32 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
572 Titus Ave, Rochester, NY, 14617
Get directionsHistory
Regulatory History (7)
Customer Dispute
May 2018Customer Dispute
November 2017Customer Dispute
October 2017Customer Dispute
July 2017Customer Dispute
July 2017Customer Dispute
January 2016Customer Dispute
March 2012Other Business Activities
Richard is a notary public and 100% owner of Capital Estate Planners, where he conducts educational workshops on revocable living trusts. Being a notary public takes about 10-20% of Richard's time, while Capital Estate Planners takes a few hours per week.
Employment History
Current Registrations
Wells Fargo Advisors
Wells Fargo Advisors Financial Network, LLCBroker
Previous Registrations
Cetera Investment Advisers LLC
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Southland Equity Partners
Fsc Securities Corporation
Fsc Securities CorporationBroker
Raymond James Financial Services Advisors, INC
Raymond James Financial Services
Raymond James Financial Services, INC.Broker
Morgan Stanley
Morgan Stanley Dw INC.Broker
A. G. Edwards & Sons, INC.Broker
R a F Financial CorporationBroker
Josephthal Lyon & Ross IncorporatedBroker
Tamaron Investments, INC.Broker
State Registrations19 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.