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Daniel Mercado

Regal Investment Advisors LLC
31 Years of Experience
Wesley Chapel, FL
1 DisclosureSells Insurance
View SEC Summary
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Daniel Mercado is a registered investment advisor at Regal Investment Advisors LLC, based in Wesley Chapel, FL, with 31 years of industry experience. Daniel operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 8,302 clients with $2.9B in assets under management.

Regal Investment Advisors LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
119 advisors
Number of Clients
8,302 clients
Average Client Portfolio
$347K average
Assets Under Management
$2.9B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Fees typically range from 0.30% to 1.00% per annum depending on account value and strategy composition. Fees and payment arrangements are negotiable on a case-by-case basis.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Wesley Chapel, FL

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History

Regulatory History (1)
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Customer Dispute
April 2009
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Daniel is an independent contractor for Fiduciary Planning, LLC, providing investment advisory services, which takes nearly full-time hours. He is also the President of Mercado Financial Group, LLC, a private business, and spends minimal time selling insurance products like life insurance, fixed annuities, and LTC through the same company.

Employment History
Current Registrations
Regal Investment Advisors LLC
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Sorrento Pacific Financial, LLC
September 2022 - September 2022 · 0 mos
Schorn Wealth
July 2019 - June 2025 · 5 yrs 11 mos
Sorrento Pacific Financial, LLCBroker
July 2019 - November 2023 · 4 yrs 4 mos
Sorrento Pacific Financial, LLC
July 2019 - July 2019 · 0 mos
First Allied Securities, INC.Broker
May 2008 - July 2019 · 11 yrs 2 mos
First Allied Advisory Services, INC.
January 2007 - July 2019 · 12 yrs 6 mos
Ffp Advisory Services INC
July 1997 - January 2007 · 9 yrs 6 mos
Ffp Securities, INC.Broker
February 1997 - May 2008 · 11 yrs 3 mos
United Securities Group, INC.Broker
April 1996 - March 1997 · 11 mos
John Hancock Distributors, INC.Broker
April 1995 - June 1996 · 1 yr 2 mos
John Hancock Mutual Life Insurance CompanyBroker
April 1995 - June 1996 · 1 yr 2 mos
State Registrations1 state
FL
Advisor

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.

Exams
No exam information available for this advisor.
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