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EDWARD JAMES MERCIER
EDWARD MERCIER
CRD#: 1434551
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6423 MONTGOMERY ST STE 10
2ND FL
RHINEBECK, NY 12572
Registration History
19901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2020 - Present (4 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - Present (17 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2005 - 2008 (2 years)BADVEST, INC. (CRD# 10)1990 - 2005 (15 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2019 - 2019 (<1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2014 - 2018 (4 years)
Disclosure(s)
View By:
1/2/2015
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/5/2011

B
New Jersey 1/1/2008

B
Arizona 2/24/2021

B
New York 1/1/2008

B
Arkansas 10/21/2020

IA
New York 7/27/2021

B
California 1/1/2008

B
North Carolina 1/1/2008

B
Connecticut 1/1/2008

B
Ohio 2/25/2021

B
Delaware 2/24/2021

B
Oregon 5/23/2024

B
Florida 1/1/2008

B
Pennsylvania 10/21/2016

B
Georgia 2/24/2021

B
Rhode Island 1/5/2024

B
Illinois 2/24/2021

B
South Carolina 2/3/2009

B
Maine 6/23/2008

B
Tennessee 5/23/2024

B
Maryland 9/15/2014

B
Texas 4/21/2020

B
Massachusetts 1/1/2008

IA
Texas 4/21/2020

B
Minnesota 9/5/2012

B
Utah 7/16/2018

B
Missouri 4/13/2018

B
Vermont 2/24/2021

B
Nevada 3/20/2018

B
Virginia 12/17/2012

B
New Hampshire 2/24/2021

B
Washington 2/24/2021

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
6423 MONTGOMERY ST STE 10 2ND FL, RHINEBECK, NY 12572
Registered with this firm since 4/21/2020

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6423 MONTGOMERY ST STE 10 2ND FL, RHINEBECK, NY 12572
Registered with this firm since 1/1/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/09/2019 - 12/31/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) KINGSTON, NY
IA
06/23/2014 - 12/31/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) KINGSTON, NY
B
11/30/2005 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) RHINEBECK, NY
B
04/24/1990 - 12/20/2005 ADVEST, INC. (CRD#:10) MIDDLETOWN, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.