Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Mercado is a financial professional with over 27 years of experience in the financial services industry. Cindy is registered with Cetera Investment Advisers LLC in Arizona. Cindy has previously been registered with Cetera Advisor Networks LLC, Voya Financial Advisors, Inc., 1st Global Capital Corp., USAA Investment Management Company, Edward Jones, National Financial Services LLC, SG Cowen Securities Corporation, Cowen & Co., and Legg Mason Wood Walker, Incorporated. Cindy holds the Series 7, Series 24, Series 55, and Series 63 securities licenses, as well as the Series 66 investment advisor representative license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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AZ
05/30/2024 - Present
Cetera Investment Advisers LLC (TEMPE AZ)
AZ
06/09/2021 - 05/10/2024
CETERA ADVISOR NETWORKS LLC (SCOTTSDALE AZ)
AZ
03/08/2019 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (SCOTTSDALE AZ)
AZ
06/21/2007 - 03/01/2019
1ST GLOBAL CAPITAL CORP. (Phoenix AZ)
TX
06/16/2004 - 02/21/2006
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
MO
06/04/2002 - 08/06/2002
EDWARD JONES (ST. LOUIS MO)
MA
07/28/1999 - 11/28/2001
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
NY
07/01/1998 - 07/15/1999
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
01/13/1998 - 07/01/1998
COWEN & CO. (NEW YORK NY)
MD
10/30/1992 - 01/16/1998
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 9/5/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/28/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/8/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/15/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/29/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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