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ROBERT WINTHROP MERCER III
ROBERT WINTHROP MERCER
CRD#: 4044074
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 301 COMMERCE Ste 2800
FT. WORTH, TX 76102
FT. WORTH, TX 76102
0
Disclosures
24
Years of Experience
View By:
State Registrations
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Alabama 4/1/2019
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New Jersey 9/5/2018
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Arizona 8/26/2024
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New Mexico 2/18/2015
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California 2/18/2015
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New York 5/16/2017
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Colorado 3/31/2011
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North Carolina 3/7/2019
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Delaware 5/31/2016
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Ohio 11/14/2017
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District of Columbia 2/2/2024
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Oklahoma 9/27/2012
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Florida 1/23/2020
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Pennsylvania 8/22/2024
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Georgia 5/17/2011
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South Carolina 8/12/2022
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Illinois 3/31/2011
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Tennessee 3/14/2023
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Illinois 7/18/2017
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Texas 3/31/2011
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Indiana 2/4/2021
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Texas 4/15/2011
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Iowa 7/19/2023
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Utah 3/31/2022
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Louisiana 3/19/2015
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Virginia 11/14/2017
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Massachusetts 3/3/2015
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West Virginia 3/16/2015
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Mississippi 9/28/2023
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Wisconsin 5/14/2015
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Missouri 7/9/2015
SRO Registrations
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Registered with this firm since 4/15/2011
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Registered with this firm since 3/31/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/14/2006 - 04/25/2011 | ENGLEWOOD, CO | |
B | 04/20/2000 - 04/25/2011 | ENGLEWOOD, CO |
For additional information about investment advisers or broker-dealers, please visit
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.