Mikus Mergups

ADVENT CAPITAL LLC

Roseville, CA 95678

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CRD#: 4549932

Professional summary

Mikus Mergups, CFP® is a registered financial advisor currently at ADVENT CAPITAL LLC located in Roseville, California.

Mikus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Mikus has worked at 4 firms and has passed the Series 66, Series 63 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.

Mikus Mergups is individually licensed as a Life/Health insurance agent in California since 2006. This business is conducted outside of Advent Capital LLC and typically outside of regular trading hours. From time to time, he may offer clients advice or products from those activities. Clients should be aware that these services pay a commission and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. Mikus Mergups spends an average of less than 1 hour per year engaging in any insurance-related activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mikus Mergups'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

May 30, 2013 - Present

ADVENT CAPITAL LLC

Office #1: 915 Highland Pointe, Suite 250, Roseville, CA 95678

RIA

CRD#: 165348

Roseville, CA

Past

June 30, 2010 - July 17, 2012

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

COLFAX, CA

Past

June 30, 2010 - July 17, 2012

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

COLFAX, CA

Past

April 25, 2006 - July 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SACRAMENTO, CA

Past

March 24, 2006 - July 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SACRAMENTO, CA

Past

July 24, 2002 - August 19, 2002

CASIMIR CAPITAL L.P.

CRD#: 105061

GREENWICH, CT

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.

Highlighted states indicate IAR registrations

IAR

California
(5/30/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/24/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/12/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/23/2006

General Securities Representative Examination

Current Firm

ADVENT CAPITAL LLC

ADVENT CAPITAL LLC | MERGUPS, MIKUS

CRD#: 165348 / SEC#:

California

Registered Investment Advisory firm - (5/30/2013 Approved)

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Contact information

Main Address

915 Highland Pointe, Suite 250, Roseville, CA 95678

Mailing Address

Phone number

(916) 384-8060

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 56,146,317

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.

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Mikus Mergups

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mikus Mergups's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVENT CAPITAL LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CASIMIR CAPITAL L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/24/2006

Series 63

Date: 8/12/2002

Series 7

Date: 3/23/2006

Current Firm

ADVENT CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADVENT CAPITAL LLC

TRUST BUT VERIFY

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