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Detailed Report
ROBERT WINTHROP MERCER III
ROBERT WINTHROP MERCER
CRD#: 4044074
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 301 COMMERCE Ste 2800
FT. WORTH, TX 76102
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2011 - Present (13 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2000 - 2011 (11 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2006 - 2011 (5 years)
License(s)

State Registrations

B
Alabama 4/1/2019
B
New Jersey 9/5/2018
B
Arizona 8/26/2024
B
New Mexico 2/18/2015
B
California 2/18/2015
B
New York 5/16/2017
B
Colorado 3/31/2011
B
North Carolina 3/7/2019
B
Delaware 5/31/2016
B
Ohio 11/14/2017
B
District of Columbia 2/2/2024
B
Oklahoma 9/27/2012
B
Florida 1/23/2020
B
Pennsylvania 8/22/2024
B
Georgia 5/17/2011
B
South Carolina 8/12/2022
B
Illinois 3/31/2011
B
Tennessee 3/14/2023
IA
Illinois 7/18/2017
B
Texas 3/31/2011
B
Indiana 2/4/2021
IA
Texas 4/15/2011
B
Iowa 7/19/2023
B
Utah 3/31/2022
B
Louisiana 3/19/2015
B
Virginia 11/14/2017
B
Massachusetts 3/3/2015
B
West Virginia 3/16/2015
B
Mississippi 9/28/2023
B
Wisconsin 5/14/2015
B
Missouri 7/9/2015

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
301 COMMERCE Ste 2800, FT. WORTH, TX 76102
Sharon, MA
Registered with this firm since 4/15/2011
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
301 COMMERCE Ste 2800, FT. WORTH, TX 76102
Sharon, MA
Registered with this firm since 3/31/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/14/2006 - 04/25/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
B
 04/20/2000 - 04/25/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.