David G. Mertens

QSV EQUITY INVESTORS LLC

Lake Oswego, OR

Some features on this profile are disabled

CRD#: 1070500

Professional summary

David Gerhard Mertens, who also goes by Dave Mertens, is a registered financial advisor currently at QSV EQUITY INVESTORS LLC located in Lake Oswego, Oregon.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. David has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Mertens

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ADVISORS SERIES TRUST 777 EAST WISCONSIN AVENUE, 10TH FLOOR MILWAUKEE, WI 53202 MUTUAL FUND SERIES TRUST INVESTMENT RELATED INDEPENDENT TRUSTEE SINCE 03/2017 50HRS PER MONTH 50% DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Gerhard Mertens's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 22, 2019 - Present

QSV EQUITY INVESTORS LLC

RIA

CRD#: 283060

Lake Oswego, OR

Past

July 11, 2006 - March 1, 2017

JENSEN INVESTMENT MANAGEMENT INC.

RIA

CRD#: 105281

LAKE OSWEGO, OR

Past

January 26, 2004 - December 31, 2016

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

October 8, 1999 - January 10, 2003

BERGER FINANCIAL GROUP LLC

RIA

CRD#: 105125

DENVER, CO

Past

January 14, 1997 - December 20, 2002

BERGER DISTRIBUTORS LLC

CRD#: 41436

DENVER, CO

Past

November 11, 1992 - November 14, 1995

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

January 16, 1990 - October 29, 1992

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

February 12, 1987 - December 31, 1989

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

November 11, 1982 - January 12, 1987

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QSV EQUITY INVESTORS LLC

BALLAST EQUITY MANAGEMENT | QSV EQUITY INVESTORS LLC | PRUDENCE ISLAND WEALTH MANAGEMENT | BALLAST EQUITY MANAGEMENT LLC

CRD#: 283060 / SEC#: 801-127701

RIA

Registered Investment Advisory firm - (4/26/2023 Approved)

Colorado

Registered Investment Advisory firm - (8/8/2023 Terminated)

Illinois

Registered Investment Advisory firm - (5/1/2023 Terminated)

Oregon

Registered Investment Advisory firm - (8/11/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(7/11/2019)

IAR

Oregon
(3/22/2019)

IAR

Texas
(3/4/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/12/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/13/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/10/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/23/1996

Investment Company Products/Variable Contracts Principal Examination

Current Firm

QSV EQUITY INVESTORS LLC

BALLAST EQUITY MANAGEMENT | QSV EQUITY INVESTORS LLC | PRUDENCE ISLAND WEALTH MANAGEMENT | BALLAST EQUITY MANAGEMENT LLC

CRD#: 283060 / SEC#: 801-127701

RIA

Registered Investment Advisory firm - (4/26/2023 Approved)

Colorado

Registered Investment Advisory firm - (8/8/2023 Terminated)

Illinois

Registered Investment Advisory firm - (5/1/2023 Terminated)

Oregon

Registered Investment Advisory firm - (8/11/2023 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2023 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Naperville, IL

Mailing Address

Phone number

(844) 322-5527

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

QSV ADV BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 113,278,822

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David G. Mertens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Gerhard Mertens's CRS (Customer Relationship Summary).

Certified licenses

Experience

JENSEN INVESTMENT MANAGEMENT INC.

QUASAR DISTRIBUTORS, LLC

BERGER FINANCIAL GROUP LLC

BERGER DISTRIBUTORS LLC

INVESCO DISTRIBUTORS, INC.

VERAVEST INVESTMENTS, INC.

VERAVEST INVESTMENTS, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

Primary Firm SEC Registration

QSV EQUITY INVESTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2006

Series 63

Date: 4/13/1987

SIE

Date: 12/31/2016

Series 6

Date: 11/10/1982

Series 26

Date: 8/23/1996

Current Firm

QSV EQUITY INVESTORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QSV EQUITY INVESTORS LLC

TRUST BUT VERIFY

Similar Advisors