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VM

Victor Mercado

FINANCORP GROUP INTERNATIONAL
Miami, FL 33131
Some features on this profile are disabled
CRD#: 3020017
VM

Professional summary

Victor Mercado is a registered financial professional currently at FINANCORP GROUP INTERNATIONAL CORPORATION located in Miami, Florida.

Victor is registered as a RR (Registered Representative) and started their career in finance in 2003. Victor has worked at 3 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Victor Mercado's CRS (Customer Relationship Summary).
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

September 26, 2006 - Present

FINANCORP GROUP INTERNATIONAL CORPORATION

Office #1: 800 Brickell Ave Ste. 435, Miami, FL 33131
BD
CRD#: 31793
Miami, FL
Past

August 23, 2004 - September 12, 2006

UBS SERVICES USA LLC

BD
CRD#: 46330
WEEHAWKEN, NJ
Past

April 30, 2004 - August 17, 2004

HARRISDIRECT LLC

RIA
CRD#: 42159
JERSEY CITY, NJ
Past

May 21, 2003 - August 17, 2004

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(1/8/2015)
RR
New York
(9/26/2006)

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/29/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/30/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/3/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FG
FINANCORP GROUP INTERNATIONAL CORPORATION
FINANCORP GROUP INTERNATIONAL CORPORATION

CRD#: 31793 / SEC#: , 8-45367

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
800 Brickell Ave Ste. 435, Miami, FL 33131
Mailing Address
800 Brickell Ave Ste. 435, Miami, FL 33131
Phone number
(954) 334-0009
Established
Delaware since 08/27/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINANCORP HOLDINGS CORP.OWNER
MERCADO, VICTORCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3020017
SILVA, NICHOLASCHIEF FINANCIAL OFFICER / FINOP6797625

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.

Company Information

FINANCORP GROUP INTERNATIONAL CORPORATION

CRD#: 31793Miami, FL 33131

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