Edward Steven Mercer, CFP | Financial Professional

Professional summary

Edward Steven Mercer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Edward is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Edward had worked at 8 firms, which includes CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., LPL FINANCIAL LLC, MIDDLEBURY SECURITIES LLC, FIRST FOUNDERS SECURITIES INC., MML INVESTORS SERVICES LLC, PRUCO SECURITIES LLC., ALLIED CAPITAL GROUP INC..

Question & Answer

Are you a "fiduciary"?

No

Aliases

Ed Mercer

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) RLA FINANCIAL / 3932 Coral Ridge Drive, Coral Springs FL 33071 / 10/24/2022 / NIR / IAR - DBA / 125 HR/MO - 80 HR/MO TRADING 2) EDWARD MERCER, 3932 Coral Ridge Drive, Coral Springs FL 33065, 06/2022, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 40 HR/MO - 20 HR/MO Trading. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 09/16/2022

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Past

September 16, 2022 - November 8, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Coral Springs, FL

Past

September 1, 2022 - November 8, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Coral Springs, FL

Past

December 15, 2021 - September 8, 2022

LPL FINANCIAL LLC

BD

CRD#: 6413

CORAL SPRINGS, FL

Past

May 19, 2015 - December 7, 2015

MIDDLEBURY SECURITIES LLC

BD

CRD#: 122602

WEYBRIDGE, VT

Past

November 23, 2007 - October 31, 2008

FIRST FOUNDERS SECURITIES, INC.

BD

CRD#: 128624

FERNANDINA BEACH, FL

Past

July 2, 1999 - September 14, 2006

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

FT LAUDERDALE, FL

Past

June 30, 1999 - September 14, 2006

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

FT LAUDERDALE, FL

Past

December 1, 1994 - June 8, 1999

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

NEWARK, NJ

Past

June 24, 1988 - June 3, 1989

ALLIED CAPITAL GROUP, INC.

BD

CRD#: 13146

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".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

Series 63

Date: 3/24/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 7TO

Date: 12/15/2021

General Securities Representative Examination

General Industry/Product Exam

RR

SIE

Date: 8/24/2020

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/19/2015

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 11/30/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	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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Advisor Monitoring

Firm Stability Insights

Edward S. Mercer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

MIDDLEBURY SECURITIES LLC

FIRST FOUNDERS SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

ALLIED CAPITAL GROUP, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/2022

Series 7TO

Date: 12/15/2021

SIE

Date: 8/24/2020

Series 7

Date: 5/19/2015

Series 6

Date: 11/30/1994

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TRUST BUT VERIFY

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