Frederick S. Mercaldo
Professional summary
Frederick Scott Mercaldo, who also goes by F Scott Mercaldo, Scott Mercaldo, is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in New York, New York and CNR SECURITIES, LLC located in New York, New York.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 2001. Frederick has worked at 23 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederick Scott Mercaldo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2023 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022March 13, 2023 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022March 13, 2023 - June 21, 2024
SYMPHONIC SECURITIES LLC
April 29, 2022 - October 4, 2022
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
April 18, 2022 - October 4, 2022
MGI FUNDS DISTRIBUTORS, LLC
February 22, 2021 - October 4, 2022
PARNASSUS FUNDS DISTRIBUTOR, LLC
February 22, 2021 - October 4, 2022
ORBIS INVESTMENTS (U.S.), LLC
June 18, 2020 - October 4, 2022
QUASAR DISTRIBUTORS, LLC
August 17, 2018 - October 4, 2022
IMST DISTRIBUTORS, LLC
June 7, 2018 - October 4, 2022
FORESIDE FINANCIAL SERVICES, LLC
June 7, 2018 - October 4, 2022
COMPASS DISTRIBUTORS, LLC
October 6, 2017 - October 4, 2022
FORESIDE FUNDS DISTRIBUTORS LLC
August 14, 2017 - October 4, 2022
NORTHERN FUNDS DISTRIBUTORS, LLC
August 14, 2017 - October 4, 2022
FORESIDE GLOBAL SERVICES, LLC
May 11, 2017 - June 23, 2020
FORESIDE ASSOCIATES, LLC
May 11, 2017 - October 4, 2022
FUNDS DISTRIBUTOR, LLC
May 11, 2017 - October 4, 2022
FORESIDE DISTRIBUTION SERVICES, L.P.
May 2, 2017 - October 4, 2022
FORESIDE FUND SERVICES, LLC
March 1, 2016 - April 12, 2017
BNY ADVISORS
September 9, 2014 - April 12, 2017
PERSHING LLC
June 15, 2011 - August 27, 2014
FORESIDE FUND SERVICES, LLC
June 9, 2010 - March 2, 2011
ABERDEEN FUND DISTRIBUTORS, LLC
August 31, 2007 - June 3, 2010
FRANKLIN DISTRIBUTORS, LLC
September 18, 2001 - May 24, 2007
ING DIRECT SECURITIES 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
(3/13/2023)
(3/13/2023)
(3/13/2023)
Exams
FINRA
Current Firm
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CEO, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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