David A. Mercurio
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.
David Anthony Mercurio, CFP®, CLU®, who also goes by David Chdcurio, David Anthony Mercurio, David Mercurio, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
December 14, 2023 - January 7, 2025
J.P. MORGAN SECURITIES LLC
December 14, 2023 - January 7, 2025
J.P. MORGAN SECURITIES LLC
December 15, 2021 - December 4, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 10, 2021 - November 30, 2023
FIDELITY BROKERAGE SERVICES LLC
October 21, 2020 - December 7, 2021
VANGUARD ADVISERS, INC.
October 21, 2020 - December 7, 2021
VANGUARD MARKETING CORPORATION
November 22, 2019 - September 21, 2020
LPL FINANCIAL LLC
November 22, 2019 - September 21, 2020
LPL FINANCIAL LLC
September 9, 2014 - November 22, 2019
MONEY CONCEPTS CAPITAL CORP
September 9, 2014 - November 22, 2019
MONEY CONCEPTS CAPITAL CORP
January 6, 2014 - August 20, 2014
EDWARD JONES
October 22, 2013 - August 20, 2014
EDWARD JONES
May 3, 2010 - December 13, 2011
SYMPHONY RETIREMENT PLANNING, LLC
September 1, 2005 - January 22, 2007
FIRST BROKERAGE AMERICA, L.L.C.
May 1, 2002 - April 5, 2005
HARRISDIRECT LLC
December 4, 2001 - April 5, 2005
HARRISDIRECT LLC
August 24, 2001 - May 1, 2002
HARRIS INVESTORLINE INC.
June 26, 2000 - June 6, 2001
A. G. EDWARDS & SONS, INC.
March 27, 1997 - June 29, 2000
EDWARD JONES
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
