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JM

Jacob P. Mercier

CAZ INVESTMENTS L.P.
Houston, TX 77056
Some features on this profile are disabled
CRD#: 7007529
JM

Professional summary

Jacob Paul Mercier, who also goes by Jacob Mercier, Jake Mercier, is a registered financial advisor currently at CAZ INVESTMENTS L.P. located in Houston, Texas.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Jacob has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jacob Mercier | Jake Mercier

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 Jacob Paul Mercier'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®
None

Experience

Current

January 4, 2026 - Present

CAZ INVESTMENTS L.P.

Office #1: One Riverway Suite 2000, Houston, TX 77056
RIA
CRD#: 113931
Houston, TX
Past

April 14, 2025 - November 13, 2025

F L PUTNAM INVESTMENT MANAGEMENT CO.

RIA
CRD#: 106223
LYNNFIELD, MA
Past

September 10, 2019 - February 10, 2020

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

November 12, 2018 - July 31, 2019

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WALTHAM, MA

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
CAZ INVESTMENTS L.P.
CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA
Registered Investment Advisory firm - (9/27/2001 Approved)
Texas
Registered Investment Advisory firm - (9/27/2001 Terminated)

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
Texas
(1/4/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/8/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/20/2019
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 11/12/2018
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/1/2018
Securities Industry Essentials Examination

Current Firm

CI
CAZ INVESTMENTS L.P.
CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA
Registered Investment Advisory firm - (9/27/2001 Approved)
Texas
Registered Investment Advisory firm - (9/27/2001 Terminated)
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Contact information

Main Address
One Riverway Suite 2000, Houston, TX 77056
Mailing Address
Phone number
(713) 403-8250
Established
Firm type
Fiscal year end
# of Employees
63

SEC notice filing (1 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

Part 2 Brochures

2025 CAZ DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts10,613
AUM (Assets Under Management)$ 8,653,972,299

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

CAZ INVESTMENTS L.P.

CRD#: 113931Houston, TX 77056

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