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MF

Mercedes H. Fresquez

KESTRA INVESTMENT SERVICES
Greensboro, NC 27401
Some features on this profile are disabled
CRD#: 4246458
MF

Professional summary

Mercedes Herlinda Fresquez, who also goes by Mercedes Fresquez Clifton, Mercedes Herlinda Fresquez, Mercy Fresquez, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Greensboro, North Carolina.

Mercedes is registered as a RR (Registered Representative) and started their career in finance in 2000. Mercedes has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mercedes Fresquez Clifton | Mercedes Herlinda Fresquez | Mercy Fresquez

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) - BD

Click below to view Mercedes Herlinda Fresquez's CRS (Customer Relationship Summary).
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

February 2, 2015 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 328 East Market St. Suite 110, Greensboro, NC 27401
BD
CRD#: 42046
Greensboro, NC
Past

February 28, 2007 - February 10, 2015

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
GREENSBORO, NC
Past

October 24, 2005 - February 27, 2007

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
OAK RIDGE, NC
Past

June 18, 2003 - October 24, 2005

BLUE VASE SECURITIES, LLC

BD
CRD#: 46765
WASHINGTON, PA
Past

June 21, 2002 - June 16, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GREENSBORO, NC
Past

June 15, 2002 - June 16, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 23, 2002 - June 21, 2002

WACHOVIA SECURITIES, INC.

RIA
CRD#: 431
GREENSBORO, NC
Past

December 7, 2000 - June 15, 2002

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

September 19, 2000 - November 29, 2000

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
North Carolina
(2/2/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/20/2000
Uniform Combined 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: 9/18/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES

CRD#: 42046 / SEC#: , 8-49672

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
KESTRA FINANCIAL, INCSOLE MEMBER
AMORE, JOHN VINCENTPRESIDENT5430932
CHESTER, KRISTEN LAWLESSCHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT6896952
KANT, VINAYCHIEF DIGITAL TECHNOLOGY OFFICER7976827
PEDLOW, MICHAEL ROSSCHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT4871563
POER, JAMES LYNNCHIEF EXECUTIVE OFFICER1983357
SCHOENBECK, MARK PAULEXECUTIVE VICE PRESIDENT2625829
YIN, YINCONTROLLER3219513
ZEGERS, SCOTT MATTHEWCHIEF FINANCIAL OFFICER4831659

Disclosures

Regulatory Event14
Arbitration2

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

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046Greensboro, NC 27401

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