David R. Mercier

PATHWORKS FINANCIAL

Novi, MI 48375

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CRD#: 1212766

Professional summary

David Rene Mercier is a registered financial advisor currently at PATHWORKS FINANCIAL, INC. located in Novi, Michigan.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. David has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)INDEPENDENT INSURANCE AGENT,YES,25140 LAHSER RD STE 242, SOUTHFIELD, MI 480346311,FIXED INSURANCE SALES,INDEPENDENT INSURANCE AGENT,09/13/2006,160,160,SALES OF FIXED INSURANCE SALES; 2)DETROIT LIFE & HEALTH PRODUCTS,YES,25140 LAHSER, SOUTHFIELD, MI 48034,LIFE AND HEALTH INSURANCE SALES,SALES PERSON,09/13/2006,160,160,SALES OF LIFE AND HEALTH INSURANCE PRODUCTS." 3)SECRETARY/TREASURER OF TINY PRIVATE HUNTING CLUB. WRITE 6 CHECKS PER YEAR TO PAY BILLS WITH A $2000 ANNUAL BUDGET. ALL 3 OTHER MEMBERS ARE AGED UNCLES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Rene Mercier'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

January 5, 2023 - Present

PATHWORKS FINANCIAL, INC.

Office #1: 43155 Main Street Suite 212, Novi, MI 48375

RIA

CRD#: 138393

Novi, MI

Past

August 9, 2021 - January 4, 2023

PATHWORKS FINANCIAL

RIA

CRD#: 313668

Novi, MI

Past

June 19, 2021 - August 11, 2021

PATHWORKS FINANCIAL, INC.

RIA

CRD#: 138393

Novi, MI

Past

December 9, 2019 - March 11, 2021

PATHWORKS FINANCIAL, INC.

RIA

CRD#: 138393

Southfield, MI

Past

May 2, 2011 - December 9, 2019

SIGMA FINANCIAL CORPORATION

CRD#: 14303

SOUTHFIELD, MI

Past

October 21, 1997 - May 4, 2011

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SOUTHFIELD, MI

Past

March 4, 1987 - October 21, 1997

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

March 19, 1984 - June 22, 1987

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

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".

PATHWORKS FINANCIAL, INC.

CRD#: 138393 / SEC#: 801-120476

RIA

Registered Investment Advisory firm - (3/10/2021 Approved)

Michigan

Registered Investment Advisory firm - (3/11/2021 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

Michigan
(1/5/2023)

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

Series 63

Date: 1/28/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/16/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PATHWORKS FINANCIAL, INC.

CRD#: 138393 / SEC#: 801-120476

RIA

Registered Investment Advisory firm - (3/10/2021 Approved)

Michigan

Registered Investment Advisory firm - (3/11/2021 Terminated)

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Contact information

Main Address

43155 Main Street Suite 212, Novi, MI 48375

Mailing Address

Phone number

(248) 946-4515

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

PATHWORKS FORM ADV PART 2A (JANUARY 23, 2025) (3/25/2025)

PATHWORKS WRAP FEE BROCHURE (JANUARY 23, 2025) (1/24/2025)

Regulatory assets under management

Total Number of Accounts	1,086
AUM (Assets Under Management)	$ 236,868,620

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.

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David R. Mercier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Rene Mercier's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATHWORKS FINANCIAL

PATHWORKS FINANCIAL, INC.

PATHWORKS FINANCIAL, INC.

SIGMA FINANCIAL CORPORATION

VOYA FINANCIAL ADVISORS, INC.

NEW ENGLAND SECURITIES

METROPOLITAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

PATHWORKS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/1988

SIE

Date: 10/1/2018

Series 6

Date: 3/16/1984

Current Firm

PATHWORKS FINANCIAL, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PATHWORKS FINANCIAL, INC.

TRUST BUT VERIFY

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