Enrique Mercado
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Enrique Mercado JR, who also goes by Enrique Mercado, was a registered financial advisor .
Enrique is a previously registered financial advisor and started their career in finance in 1994. Enrique had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2015 - October 2, 2015
EFG CAPITAL INTERNATIONAL
August 23, 2013 - January 29, 2015
RBC CAPITAL MARKETS, LLC
July 8, 2013 - January 29, 2015
RBC CAPITAL MARKETS, LLC
January 29, 2010 - April 1, 2013
TRADEWIRE SECURITIES LLC
February 12, 2009 - July 29, 2009
ACTIVA CAPITAL MARKETS, INC.
April 7, 2003 - June 14, 2011
HEDGE INVESTMENT ADVISORS LLC
July 23, 1997 - December 15, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 1994 - July 9, 1997
UBS FINANCIAL SERVICES 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
Exams
Current Firm
EFG CAPITAL INTERNATIONAL
CRD#: 40118 / SEC#: 801-120569, 8-48969
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EFG CAPITAL HOLDINGS CORP. | PARENT | |
| ARGUMEDO, GUILLERMO ARTURO | SENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL | 2542794 |
| BORGES, LEONARDO SILVA | PRINCIPAL OPERATIONS OFFICER | 5637377 |
| ECHEVARRIA, VICTOR MANUEL | CHAIRMAN OF THE BOARD | 1939548 |
| GONZALEZ, CARLOS JAVIER | CHIEF COMPLIANCE OFFICER | 4294205 |
| LEVERETT, KYLE LAWRENCE | PRINCIPAL FINANCIAL OFFICER | 6123446 |
| MESQUITA, SILVANA SOBRAL | AMLCO | 6983852 |
| MOHOROVIC, SANJIN | CEO | 6849141 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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