Robert Thomas Mercer
Professional Summary
Robert Thomas Mercer, who also goes by Thad Mercer, Thaddeus Mercer, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1970 - 2021. Robert had worked at 16 firms and has passed the Series 63, Series 99TO, Series 62, Series 7TO, Series 57TO, SIE, Series 55, PC, Series 1 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thad Mercer, Thaddeus Mercer
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
56 years in the financial services industry
Current & Past Employments
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Current Firm
BOUSTEAD SECURITIES, LLC | MONARCH BAY SECURITIES, LLC | MONARCH BAY ASSOCIATES, LLC
Contact Information
Main Address
6 Venture Suite 395, Irvine, CA 92618Mailing Address
6 Venture Suite 395, Irvine, CA 92618Phone Number
(949) 295-1580Established
California since 04/19/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 2000PC — AMEX Put and Call Exam
Passed Aug 1977Series 1 — Registered Representative Examination
Passed Dec 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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