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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Shawn Christopher Mercer

Shawn C. Mercer

CETERA INVESTMENT ADVISERS
PEACHTREE CITY, GA 30269
Some features on this profile are disabled
CRD#: 4381455
Shawn Christopher Mercer

Professional summary

Shawn Christopher Mercer, CFP®, who also goes by Shawn C Mercer, Shawn Mercer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Peachtree City, Georgia and CETERA INVESTMENT SERVICES LLC located in Peachtree City, Georgia.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Shawn has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Shawn C Mercer | Shawn Mercer

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) - RIA

Click below to view Shawn Christopher Mercer'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®
CFP®

Certified Financial Planner

Start date: 2008

Experience

Current

February 20, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 300 South Peachtree Parkway, Peachtree City, GA 30269
RIA
CRD#: 105644
PEACHTREE CITY, GA
Current

February 26, 2026 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 300 South Peachtree Parkway, Peachtree City, GA 30269
BD
CRD#: 15340
Peachtree City, GA
Past

May 10, 2023 - September 22, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
MILLEDGEVILLE, GA
Past

May 8, 2023 - September 22, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
MILLEDGEVILLE, GA
Past

October 3, 2022 - March 19, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Milledgeville, GA
Past

September 30, 2022 - March 19, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Milledgeville, GA
Past

March 2, 2021 - October 5, 2022

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
Milledgeville, GA
Past

February 17, 2021 - October 5, 2022

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
SYLVESTER, GA
Past

January 2, 2018 - March 2, 2021

BB&T SECURITIES, LLC

RIA
CRD#: 142785
RICHMOND, VA
Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

BD
CRD#: 142785
RICHMOND, VA
Past

August 13, 2012 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
MILLEDGEVILLE, GA
Past

August 13, 2012 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
MILLEDGEVILLE, GA
Past

January 1, 2008 - August 10, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MILLEDGEVILLE, GA
Past

January 1, 2008 - August 10, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MILLEDGEVILLE, GA
Past

October 19, 2005 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
MILLEDGEVILLE, GA
Past

May 17, 2001 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
MILLEDGEVILLE, GA

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

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
Alabama
(2/27/2026)
RR
Florida
(2/27/2026)
IAR
Georgia
(2/20/2026)
RR
Georgia
(2/27/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/12/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/15/2001
Uniform Securities Agent 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: 5/16/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Peachtree City, GA 30269

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