DM
Denim A. Mercado
U.S. BANCORP ADVISORS
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 4272790
DM
Professional summary
Denim Anne Mercado, who also goes by Denim Mercado, Denim Anne Millay, Denim Millay, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Irvine, California.
Denim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Denim has worked at 11 firms and has passed the Series 65, Series 63, Series 66, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Denim Mercado | Denim Anne Millay | Denim Millay
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.
CRS (Client Relationship Summary) - RIA
Click below to view Denim Anne Mercado's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Denim Anne Mercado'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
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 18300 Von Karman Ave, Irvine, CA 92612RIA
BD
CRD#: 14455
Irvine, CA
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 18300 Von Karman Ave, Irvine, CA 92612RIA
BD
CRD#: 14455
Irvine, CA
Past
January 18, 2023 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Irvine, CA
Past
December 5, 2022 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Irvine, CA
Past
June 17, 2019 - December 31, 2021
ST INVEST LLC
BD
CRD#: 297470
NASHVILLE, TN
Past
April 12, 2018 - December 20, 2022
CAPULENT LLC
BD
CRD#: 155155
Irvine, CA
Past
September 30, 2011 - June 29, 2017
WNC CAPITAL CORPORATION
BD
CRD#: 36174
IRVINE, CA
Past
March 16, 2009 - November 10, 2009
STIRA CAPITAL MARKETS GROUP, LLC
BD
CRD#: 141277
IRVINE, CA
Past
December 4, 2006 - July 25, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past
April 14, 2004 - October 30, 2006
GRUBB & ELLIS SECURITIES, INC.
BD
CRD#: 17932
SANTA ANA, CA
Past
March 10, 2003 - March 17, 2004
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
July 27, 2001 - November 20, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
December 4, 2000 - May 25, 2001
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, 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".
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
California(2/13/2026)
IAR
California(2/13/2026)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
800 N Brand Blvd. 16th Floor Ep-mn-n2wc, Saint Paul, MN, 55107
Mailing Address
800 N Brand Blvd. 16th Floor, Glendale, CA, 91203
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
244
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
