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MT

Mercy Tanudjojo

FULLGUARDS FINANCIAL
SANTA CRUZ, CA 95062
Some features on this profile are disabled
CRD#: 3032187
MT

Professional summary

Mercy Tanudjojo is a registered financial advisor currently at FULLGUARDS FINANCIAL located in Santa Cruz, California.

Mercy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Mercy has worked at 3 firms and has passed the Series 65, Series 63, SIE 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mercy Tanudjojo'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

May 5, 2023 - Present

FULLGUARDS FINANCIAL

Office #1: 340 Soquel Ave Suite 110, Santa Cruz, CA 95062
RIA
CRD#: 325399
SANTA CRUZ, CA
Past

February 4, 2002 - February 17, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
SOQUEL, CA
Past

April 7, 1998 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 7, 1998 - February 17, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SOQUEL, CA

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
(5/5/2023)
IAR
Oregon
(5/22/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/4/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/10/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/1998
General Securities Representative Examination

Current Firm

FF
FULLGUARDS FINANCIAL
FULLGUARDS FINANCIAL

CRD#: 325399 / SEC#:

California
Registered Investment Advisory firm - (5/5/2023 Approved)
Oregon
Registered Investment Advisory firm - (5/22/2023 Approved)
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Contact information

Main Address
340 Soquel Ave Suite 110, Santa Cruz, CA 95062
Mailing Address
Phone number
(831) 425-9886
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts38
AUM (Assets Under Management)$ 7,093,490

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

FULLGUARDS FINANCIAL

CRD#: 325399Santa Cruz, CA 95062

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