Donald A. Mercurio

MERCURIO WEALTH ADVISORS

Louisville, KY 40222

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CRD#: 1624265

Professional summary

Donald Alan Mercurio, who also goes by Alan Mercurio, is a registered financial advisor currently at MERCURIO WEALTH ADVISORS located in Louisville, Kentucky.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Donald has worked at 19 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan Mercurio

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.

Mercurio Insurance Services; investment related: Yes; Location of the business: 9100 Shelbyville Road, Suite 150 Louisville KY 40222 ; Description of the business: Mercurio Insurance Services is the Insurance agency that all Advisors under the RIA are licensed to. Alan, Troy, Andy and Nick are all licensed under Mercurio Insurance Services to sell insurance products. ; Position Title: N/A; Responsibilities Duties: N/A; Start date with business: 2017-03-24; Hours devoted to business during trading hours: 8; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 50.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Alan Mercurio'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 19, 2017 - Present

MERCURIO WEALTH ADVISORS

Office #1: 9100 Shelbyville Rd. Suite 150, Louisville, KY 40222

RIA

CRD#: 283632

Louisville, KY

Past

July 26, 2011 - June 1, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

LOUISVILLE, KY

Past

May 30, 2008 - July 29, 2011

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

LOUISVILLE, KY

Past

January 3, 2007 - August 9, 2011

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

LOUISVILLE, KY

Past

June 7, 2006 - January 3, 2007

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

LOUISVILLE, KY

Past

June 2, 2006 - May 30, 2008

FFP SECURITIES, INC.

CRD#: 16337

LOUISVILLE, KY

Past

October 28, 2003 - June 2, 2006

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

LOUISVILLE, KY

Past

October 28, 2003 - June 2, 2006

FSC SECURITIES CORPORATION

CRD#: 7461

LOUISVILLE, KY

Past

October 8, 2002 - November 24, 2003

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

LOUISVILLE, KY

Past

September 23, 2002 - November 11, 2003

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

March 19, 2002 - September 27, 2002

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

November 30, 2001 - September 27, 2002

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 14, 2001 - December 10, 2001

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

October 3, 1996 - March 6, 2001

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

January 30, 1996 - October 9, 1996

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

December 8, 1994 - February 27, 1996

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

March 10, 1994 - November 22, 1994

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

February 18, 1992 - February 16, 1994

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

February 2, 1989 - February 21, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

NEW YORK, NY

Past

February 2, 1989 - February 21, 1990

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

March 2, 1987 - October 13, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

MERCURIO WEALTH ADVISORS

MERCURIO & ASSOCIATES INC. | MERCURIO WEALTH MANAGEMENT | MERCURIO WEALTH ADVISORS

CRD#: 283632 / SEC#: 801-121883

RIA

Registered Investment Advisory firm - (8/25/2021 Approved)

Florida

Registered Investment Advisory firm - (9/20/2021 Terminated)

Indiana

Registered Investment Advisory firm - (9/22/2021 Terminated)

Kentucky

Registered Investment Advisory firm - (9/20/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2021 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

Florida
(6/17/2021)

IAR

Indiana
(1/23/2017)

IAR

Kentucky
(1/19/2017)

IAR

Texas
(4/5/2018)

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 66

Date: 3/11/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/11/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/18/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/27/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MERCURIO WEALTH ADVISORS

MERCURIO & ASSOCIATES INC. | MERCURIO WEALTH MANAGEMENT | MERCURIO WEALTH ADVISORS

CRD#: 283632 / SEC#: 801-121883

RIA

Registered Investment Advisory firm - (8/25/2021 Approved)

Florida

Registered Investment Advisory firm - (9/20/2021 Terminated)

Indiana

Registered Investment Advisory firm - (9/22/2021 Terminated)

Kentucky

Registered Investment Advisory firm - (9/20/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2021 Terminated)

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Contact information

Main Address

9100 Shelbyville Rd. Suite 150, Louisville, KY 40222

Mailing Address

Phone number

(502) 253-9366

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/21/2025)

ADV 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	942
AUM (Assets Under Management)	$ 123,167,983

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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Advisor Monitoring

Firm Stability Insights

Donald A. Mercurio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Alan Mercurio's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BRECEK & YOUNG ADVISORS, INC.

DONAHUE SECURITIES, INC.

WMA SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

INVESTORS CAPITAL CORP.

ADVANTAGE CAPITAL CORPORATION

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MERCURIO WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/11/2002

Series 63

Date: 5/11/1992

Series 7

Date: 11/18/1999

Series 6

Date: 2/27/1987

Current Firm

MERCURIO WEALTH ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MERCURIO WEALTH ADVISORS

TRUST BUT VERIFY

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