Robert T. Mercer
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.
Robert Thomas Mercer, who also goes by Thad Mercer, Thaddeus Mercer, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2020 - February 18, 2021
BOUSTEAD SECURITIES, LLC
March 9, 2020 - October 18, 2022
SUTTER SECURITIES CLEARING, LLC
November 21, 2019 - March 9, 2020
SUTTER SECURITIES INCORPORATED
January 26, 2018 - March 9, 2020
BOUSTEAD SECURITIES, LLC
January 20, 2018 - November 21, 2019
SUTTER SECURITIES CLEARING, LLC
July 1, 2016 - December 13, 2017
FOREST SECURITIES,INC.
November 26, 2010 - July 1, 2016
BOUSTEAD SECURITIES, LLC
June 4, 2009 - December 3, 2010
WORLD TRADE FINANCIAL CORPORATION
December 16, 2008 - June 8, 2009
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
January 16, 2008 - December 31, 2008
FINANCIAL WEST GROUP
May 2, 2003 - January 16, 2008
THE SHEMANO GROUP, INC.
July 17, 1997 - April 29, 2003
ACCESS SECURITIES, LLC
January 17, 1997 - July 18, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
July 31, 1992 - December 17, 1996
GRUNTAL & CO., L.L.C.
August 4, 1981 - August 4, 1992
KIDDER, PEABODY & CO. INCORPORATED
November 20, 1977 - June 19, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
March 21, 1972 - August 16, 1977
STERN, FRANK, MEYER & FOX, INCORPORATED
July 29, 1971 - December 16, 1971
CROWN FINANCIAL GROUP, INC.
March 2, 1970 - September 9, 1971
ADVEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/24/2000
Limited Representative-Equity Trader ExamPC
Date: 8/29/1977
AMEX Put and Call ExamSeries 1
Date: 12/29/1969
Registered Representative ExaminationCurrent Firm
BOUSTEAD SECURITIES, LLC
CRD#: 141391 / SEC#: , 8-67384
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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