David William Mercer
Professional Summary
David William Mercer, who also goes by Dave Mercer, David W Mercer, is a registered financial advisor currently at WINTHROP WEALTH located in Bainbridge Island, Washington. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 31 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Mercer, David W Mercer
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
Contact Information
Main Address
321 Columbus Ave 3rd Fl, Boston, MA 02116-5168Phone Number
(617) 530-1010# of Employees
40SEC notice filing (31 States and Territories)
Registered to provide investment advisory services in 31 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
4,369AUM (Assets Under Management)
$3,101,361,784Similar Advisors
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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.
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Primary Firm SEC Registration
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
State Registrations and Notice Filings
(9/3/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view David William Mercer's CRS (Customer Relationship Summary).
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