Stephen A. Mertz
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.
Stephen Anthony Mertz was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2007. Stephen had worked at 4 firms and has passed the Series 66 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
March 9, 2018 - November 1, 2018
DANIEL WEALTH ADVISORS
June 3, 2015 - December 31, 2017
DANIEL WEALTH ADVISORS
November 5, 2012 - December 31, 2014
DANIEL WEALTH ADVISORS
March 8, 2010 - October 1, 2010
PURSHE KAPLAN STERLING INVESTMENTS
October 1, 2009 - October 31, 2012
SAGENT WEALTH MANAGEMENT
January 18, 2008 - October 6, 2009
UBS FINANCIAL SERVICES INC.
December 17, 2007 - October 6, 2009
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
DANIEL WEALTH ADVISORS
CRD#: 150382 / SEC#: 801-78657
Contact information
Red Flags
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