Frank Mercuri

ATTIVO LEGACY ADVISORS

CORONA, CA 92878

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CRD#: 2662010

Professional summary

Frank Mercuri III is a registered financial advisor currently at ATTIVO LEGACY ADVISORS, LLC located in Corona, California.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Frank has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

DBA MAM Insurance Agency/investment-related/Corona, CA/LICENSED TO SELL FIXED LIFE, HEALTH AND DISABILITY INSURANCE/1997/approximately 10 hours per month Equivita Life Settlements, LLC/non-investment related/Corona, CA/life settlements/owner-operator/January 1, 2018/approximately 10 hours per month Meridian Trust Services/Investment-related/Corona, CA/April 2014/owner/company is trustee/less than 5 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Mercuri III's 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

April 15, 2010 - Present

ATTIVO LEGACY ADVISORS, LLC

Office #1: 4740 Green River Rd., Ste 104, Corona, CA 92878

RIA

CRD#: 109195

CORONA, CA

Past

January 17, 2007 - December 31, 2009

ATTIVO LEGACY ADVISORS, LLC

RIA

CRD#: 109195

NEWPORT BEACH, CA

Past

September 8, 2003 - November 29, 2004

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

June 19, 2002 - August 8, 2003

SECURITIES EQUITY GROUP

CRD#: 47215

ALISO VIEJO, CA

Past

March 24, 2000 - March 28, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 22, 1998 - April 11, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

California
(4/15/2010)

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 65

Date: 7/20/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/11/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/19/1998

General Securities Representative Examination

Current Firm

ATTIVO LEGACY ADVISORS, LLC

CRD#: 109195 / SEC#: 801-55305

RIA

Registered Investment Advisory firm - (1/26/2004 Terminated)

California

Registered Investment Advisory firm - (4/10/2003 Approved)

Maryland

Registered Investment Advisory firm - (12/26/2023 Terminated)

Ohio

Registered Investment Advisory firm - (4/8/2022 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).

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Contact information

Main Address

4740 Green River Rd., Ste 104, Corona, CA 92878

Mailing Address

Phone number

(877) 835-1050

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	113
AUM (Assets Under Management)	$ 16,000,000

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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Frank Mercuri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Mercuri III's CRS (Customer Relationship Summary).

Certified licenses

Experience

ATTIVO LEGACY ADVISORS, LLC

ATTIVO LEGACY ADVISORS, LLC

FINANCIAL WEST GROUP

SECURITIES EQUITY GROUP

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/1998

Series 63

Date: 7/11/1998

Series 7

Date: 6/19/1998

Current Firm

ATTIVO LEGACY ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ATTIVO LEGACY ADVISORS, LLC

TRUST BUT VERIFY

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