Nicholas Mercer is a registered investment advisor, based in Charlotte, NC, with 11 years of industry experience.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Nicholas maintains an insurance license since 2015. He spends minimal time on this activity.
Employment History
Current Registrations
Vanguard Marketing Corporation
March 2022 - Present · 4 yrs 4 mos
Vanguard Advisers, INC.
March 2022 - Present · 4 yrs 4 mos
Vanguard Marketing CorporationBroker
March 2022 - Present · 4 yrs 4 mos
Previous Registrations
Fisher Investments
June 2021 - December 2021 · 6 mos
USAA Investment Services Company
April 2021 - May 2021 · 1 mo
USAA Investment Services CompanyBroker
June 2020 - May 2021 · 11 mos
USAA Investment Services Company
January 2018 - July 2020 · 2 yrs 6 mos
USAA Financial Planning Services
March 2015 - January 2018 · 2 yrs 10 mos
USAA Financial Advisors, INC.Broker
March 2015 - June 2020 · 5 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2014 - February 2015 · 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2014 - February 2015 · 7 mos
First Investors CorporationBroker
September 2006 - March 2007 · 6 mos
State Registrations3 states
FLNCTX
AdvisorBrokerBoth
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.