AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NM

Neftali Mercedes

Some features on this profile are disabled
CRD#: 3201827
NM

Professional summary

Neftali Mercedes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Neftali is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Neftali had worked at 5 firms, which includes JOHN THOMAS FINANCIAL, THINKEQUITY LLC, JOSEPH STEVENS & CO. INC., NATIONAL SECURITIES CORPORATION, WINDSOR STREET CAPITAL LP.

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)

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

June 15, 2009 - June 24, 2010

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

July 16, 2007 - July 8, 2009

THINKEQUITY LLC

BD
CRD#: 20996
NEW YORK, NY
Past

November 22, 2005 - August 14, 2007

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
NEW YORK, NY
Past

July 9, 2001 - November 11, 2005

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

July 31, 2000 - July 9, 2001

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
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
RR
Series 63
Date: 8/3/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/2004
General Securities Principal Examination

Current Firm

JT
JOHN THOMAS FINANCIAL
GOTHAM LAWRENCE CORPORATION | LAWRENCE MARKETING, INC. | JOHN THOMAS FINANCIAL

CRD#: 40982 / SEC#: , 8-49254

BD
Terminated by SEC on 09/06/2013
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/20/1996
Firm type
Corporation
Fiscal year end
May
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CASTELLANO, JOSEPH LOUISCHIEF COMPLIANCE OFFICER1158479

Disclosures

Regulatory Event11
Arbitration18

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

JOHN THOMAS FINANCIAL

CRD#: 40982

TRUST BUT VERIFY

Monitor Neftali Mercedes

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.