SM
Steven D. Mercer
VOYA FINANCIAL ADVISORS
New Castle, DE 19720
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CRD#: 4227997
SM
Professional summary
Steven Devine Mercer is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in New Castle, Delaware.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 6 firms and has passed the Series 66, 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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 10 CORPORATE CIRCLE STE 205; NEWCASTLE; DE; 19720; FIXED INSURANCE; INDEPENDENT INSURANCE AGENT; 10/11/2016; 160; 160; SALE OF FIXED INSURANCE PRODUCTS.|NAME OF ENTITY:Bethany Beach; No; 856a Garfield Parkway; Bethany Beach; DE; 19930; Collect Rent; Owner; 6/1/2022; 1; 1; Collect Rent|
CRS (Client Relationship Summary) - RIA
Click below to view Steven Devine Mercer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Devine Mercer'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®
NoneExperience
Current
July 12, 2016 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 10 Corporate Circle Ste 205, New Castle, DE 19720RIA
BD
CRD#: 2882
New Castle, DE
Current
June 27, 2016 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 10 Corporate Circle Ste 205, New Castle, DE 19720RIA
BD
CRD#: 2882
New Castle, DE
Past
August 29, 2011 - June 24, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
NEWARK, DE
Past
August 10, 2011 - June 24, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEWARK, DE
Past
November 5, 2009 - August 11, 2011
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CHESAPEAKE CITY, MD
Past
October 30, 2009 - August 11, 2011
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CHESAPEAKE CITY, MD
Past
July 9, 2003 - November 12, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 10, 2000 - December 18, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 10, 2000 - December 18, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.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
Delaware(6/27/2016)
IAR
Delaware(7/12/2016)
RR
Florida(1/28/2021)
RR
Illinois(9/30/2016)
RR
Maryland(6/27/2016)
RR
New Jersey(7/7/2017)
RR
Pennsylvania(6/27/2016)
RR
South Carolina(8/8/2025)
RR
Virginia(1/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
