Richard Mercado

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CRD#: 2897046

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.

Richard Mercado was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 3 firms and has passed the Series 63, Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

1)MERCADO, BARNETT & ASSOCIATES, CPA'S; 640 FEDERAL ROAD, BROOKFIELD, CT, 06804; PARTNER; INVESTMENT RELATED; PARTIME. 2)REAL ESTATE MORTGAGE NETWORK, INC.; 600 EAST CRESENT AVENUE, SUITE 200, UPPER SADDE RIVER, NJ; MORTGAGE COMPANY; INVESTMENT RELATED; MINIMAL TIME SPENT. 3)PAPERBACK EXCHANGE, 640 FEDERAL ROAD, BROOKFIELD, CT, 06804; USED BOOK STORE; VICE PRESIDENT-SECRETARY-10% OWNER; NON-INVESTMENT RELATED; MINIMAL TIME SPENT. 4)LEGG MASON WOODER WALKER, INC.; BALTIMORE, MD; INDEPENDENT CONTRACTOR; INVESTMENT RELATED; PART TIME.

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®

None

Experience

Past

March 14, 2023 - April 7, 2025

CONSTITUTION INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT

RIA

CRD#: 310378

SHELTON, CT

Past

August 23, 2005 - January 24, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

May 21, 2003 - February 7, 2005

CONSTITUTION CAPITAL CORP.

RIA

CRD#: 36485

WESTPORT, CT

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".

CONSTITUTION INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT

CONSTITUTION CAPITAL LLC | CONSTITUTION INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT

CRD#: 310378 / SEC#: 801-119493

RIA

Registered Investment Advisory firm - (9/18/2020 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

Series 63

Date: 10/4/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/18/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 8/22/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONSTITUTION INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT

CONSTITUTION CAPITAL LLC | CONSTITUTION INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT

CRD#: 310378 / SEC#: 801-119493

RIA

Registered Investment Advisory firm - (9/18/2020 Approved)

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Contact information

Main Address

2 Trap Falls Road Suite 504, Shelton, CT 06484

Mailing Address

Phone number

(475) 269-3200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIAPM DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (2/4/2025)

Regulatory assets under management

Total Number of Accounts	250
AUM (Assets Under Management)	$ 224,853,594

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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Richard Mercado

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONSTITUTION INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT

LEGG MASON WOOD WALKER, INCORPORATED

CONSTITUTION CAPITAL CORP.

Primary Firm SEC Registration

CONSTITUTION INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/2005

Series 65

Date: 8/18/1997

Series 6

Date: 8/22/2005

Current Firm

CONSTITUTION INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONSTITUTION INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT

TRUST BUT VERIFY

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