Alice M. Mero

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CRD#: 2976747

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.

Alice M Mero was a registered financial professional .

Alice is a previously registered financial professional and started their career in finance in 1999. Alice had worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 27 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.

The advisor shows no other business activity.

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

July 15, 2021 - August 1, 2022

EXECUTION ACCESS, LLC

CRD#: 148423

NEW YORK, NY

Past

July 29, 2019 - August 1, 2022

TRADEWEB LLC

CRD#: 42759

NEW YORK, NY

Past

July 29, 2019 - August 1, 2022

TRADEWEB DIRECT LLC

CRD#: 103787

NEW YORK, NY

Past

January 23, 2012 - August 1, 2022

DEALERWEB LLC

CRD#: 19662

GARDEN CITY, NY

Past

May 15, 2007 - January 31, 2012

FIRST BROKERS SECURITIES LLC

CRD#: 27369

JERSEY CITY, NJ

Past

March 9, 2005 - January 31, 2012

BROKERTEC AMERICAS LLC

CRD#: 47477

JERSEY CITY, NJ

Past

July 12, 2002 - January 31, 2012

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

JERSEY CITY, NJ

Past

July 11, 2002 - December 31, 2004

GARBAN CAPITAL MARKETS LLC

CRD#: 19738

JERSEY CITY, NJ

Past

February 15, 2002 - January 31, 2012

ICAP SECURITIES USA LLC

CRD#: 19739

JERSEY CITY, NJ

Past

August 14, 2001 - March 3, 2008

INTERCAPITAL SECURITIES LLC

CRD#: 20004

JERSEY CITY, NJ

Past

September 27, 2000 - January 25, 2002

ICAP SECURITIES USA LLC

CRD#: 19739

NEW YORK, NY

Past

March 24, 1999 - April 28, 2000

INTERCAPITAL GOVERNMENT SECURITIES INC.

CRD#: 19710

NEW YORK, NY

Past

March 24, 1999 - December 6, 2000

INTERCAPITAL INTERNATIONAL INC.

CRD#: 22109

NEW YORK, NY

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.

Exams

State Security Law Exam

Series 63

Date: 8/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/30/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 7/27/2009

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 3/11/1999

Financial and Operations Principal Examination

Current Firm

EXECUTION ACCESS, LLC

CRD#: 148423 / SEC#: , 8-68021

Terminated by SEC on 02/05/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 06/09/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
TRADEWEB MARKETS LLC	OWNER
AMEN, CHRISTOPHER	CEO	4672544
COTTER, RICHARD JOSEPH	CFO	1611037
GALINDO, JORGE ALBERTO	POO	2501261
SULLIVAN, MICHAEL FRANCIS	CHIEF COMPLIANCE OFFICER	3254037

Disclosures

Regulatory Event

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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Firm Stability Insights

Alice M. Mero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRADEWEB LLC

TRADEWEB DIRECT LLC

DEALERWEB LLC

FIRST BROKERS SECURITIES LLC

BROKERTEC AMERICAS LLC

TP ICAP GLOBAL MARKETS AMERICAS LLC

GARBAN CAPITAL MARKETS LLC

ICAP SECURITIES USA LLC

INTERCAPITAL SECURITIES LLC

ICAP SECURITIES USA LLC

INTERCAPITAL GOVERNMENT SECURITIES INC.

INTERCAPITAL INTERNATIONAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/30/2000

Series 14

Date: 7/27/2009

Series 24

Date: 3/29/2001

Series 27

Date: 3/11/1999

Current Firm

EXECUTION ACCESS, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EXECUTION ACCESS, LLC

TRUST BUT VERIFY

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