Cindy S. Mercado

CETERA INVESTMENT ADVISERS LLC

TEMPE, AZ 85284

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CRD#: 1552194

Professional summary

Cindy Shiu Hing Mercado, who also goes by Cindy Shiu Hing Chiu, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tempe, Arizona and CETERA ADVISORS LLC located in Tempe, Arizona.

Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Cindy has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cindy Shiu Hing Chiu

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.NAME OF OTHER BUSINESS: SPLAVER WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2024, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NOTARIAL SERVICES, START DATE: 03/2019, POSITION/TITLE/RELATIONSHIP: NOTARY, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARIAL UPON REQUEST

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Shiu Hing Mercado'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

May 30, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8675 S Priest Dr Ste 104, Tempe, AZ 85284

RIA

CRD#: 105644

TEMPE, AZ

Current

May 23, 2024 - Present

CETERA ADVISORS LLC

Office #1: 8675 S Priest Dr Ste 104, Tempe, AZ 85284

CRD#: 10299

Tempe, AZ

Past

June 29, 2023 - May 10, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SCOTTSDALE, AZ

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SCOTTSDALE, AZ

Past

June 9, 2021 - May 10, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SCOTTSDALE, AZ

Past

March 8, 2019 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

SCOTTSDALE, AZ

Past

March 8, 2019 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SCOTTSDALE, AZ

Past

September 19, 2007 - March 1, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

PHOENIX, AZ

Past

June 21, 2007 - March 1, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

Phoenix, AZ

Past

June 16, 2004 - February 21, 2006

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

June 4, 2002 - August 6, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

July 28, 1999 - November 28, 2001

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

July 1, 1998 - July 15, 1999

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

January 13, 1998 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

October 30, 1992 - January 16, 1998

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/23/2024)

IAR

Arizona
(5/30/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/5/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/15/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/29/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/8/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Cindy S. Mercado

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Shiu Hing Mercado's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

USAA INVESTMENT SERVICES COMPANY

EDWARD JONES

NATIONAL FINANCIAL SERVICES LLC

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2007

Series 63

Date: 7/28/1997

SIE

Date: 10/1/2018

Series 55

Date: 3/15/1999

Series 7

Date: 10/29/1992

Series 24

Date: 12/8/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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