Henry Mercedes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Henry Mercedes was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 2009. Henry had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - October 14, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2018 - October 14, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 2017 - April 24, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2015 - June 18, 2015
WINDSOR STREET CAPITAL, LP
August 5, 2013 - December 4, 2014
ALLIED MILLENNIAL PARTNERS, LLC
June 13, 2011 - August 9, 2011
THINKEQUITY LLC
January 21, 2011 - June 6, 2011
JOSEPH GUNNAR & CO. LLC
December 1, 2010 - December 1, 2010
REID & RUDIGER LLC
October 29, 2010 - November 16, 2010
LAMPERT CAPITAL MARKETS INC.
August 9, 2010 - October 13, 2010
WINDSOR STREET CAPITAL, LP
March 29, 2010 - August 3, 2010
BROOKVILLE CAPITAL PARTNERS
January 19, 2010 - March 8, 2010
JOHN THOMAS FINANCIAL
July 23, 2009 - February 4, 2010
E1 ASSET MANAGEMENT, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
