Kenneth R. Mercik
Professional summary
Kenneth Robert Mercik, who also goes by Ken Mercik, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Enfield, Connecticut.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1987. Kenneth has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Robert Mercik's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
May 1, 2000 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
March 28, 1994 - April 28, 2000
ADVANTAGE CAPITAL CORPORATION
October 23, 1992 - March 16, 1994
JARON EQUITIES CORP.
August 28, 1991 - October 23, 1992
MARINER FINANCIAL SERVICES, INC.
April 25, 1991 - September 19, 1991
CAMBRIDGE-NEWPORT COMPANY, INC.
April 3, 1991 - May 20, 1991
FIDELITY EQUITY SERVICES CORPORATION
June 27, 1989 - December 5, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 27, 1989 - December 5, 1990
PRUCO SECURITIES, LLC.
March 28, 1989 - April 19, 1989
VANDERBILT SECURITIES, INC.
January 20, 1989 - March 10, 1989
INVESTORS CENTER, INC.
November 25, 1987 - January 9, 1989
BLINDER, ROBINSON & CO., INC.
January 12, 1987 - May 13, 1987
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/3/2013)
(9/3/2013)
(2/23/2016)
(9/3/2013)
(9/3/2013)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
