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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Mercado is a financial advisor with Wells Fargo Advisors Financial Network, LLC. Richard has been in the industry since 1993 and has experience with a wide range of financial products and services. Richard is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 62, Series 63, and Series 65 licenses. Richard provides financial planning and investment consulting services to individual and institutional clients. Richard is also a Notary Public and owns and operates Capital Estate Planners, a business that provides educational workshops on revocable living trusts.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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MD
04/16/2024 - Present
Wells Fargo Advisors Financial Network, LLC (GAITHERSBURG MD)
MD
09/20/2019 - 03/19/2024
CETERA ADVISOR NETWORKS LLC (GAITHERSBURG MD)
MD
12/15/2017 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (LAYTONSVILLE MD)
MD
08/27/2012 - 12/20/2017
CAMBRIDGE INVESTMENT RESEARCH, INC. (LAYTONSVILLE MD)
MD
09/02/2009 - 08/29/2012
FSC SECURITIES CORPORATION (LUTHERVILLE MD)
MD
01/09/2003 - 09/03/2009
RAYMOND JAMES FINANCIAL SERVICES, INC. (ROCKVILLE MD)
NY
05/04/2000 - 12/03/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
MO
08/22/1997 - 05/11/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
CO
02/07/1995 - 08/27/1997
R A F FINANCIAL CORPORATION (DENVER CO)
NY
05/20/1994 - 02/21/1995
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
CO
09/22/1993 - 05/18/1994
TAMARON INVESTMENTS, INC. (ENGLEWOOD CO)
IA
Issued 06/05/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/24/1993
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
F
FINRA
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