Susan E. Whitlock-Mercado

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2015 → 10/2016
  Cetera Advisors Llc
  Denver, CO
• 11/2016 → Present
  Stifel Nicolaus & Co Inc
  Melbourne, FL

Previous Registrations

• 2015-04-28 → 2016-10-12
  Cetera Advisors Llc
  Melbourne, FL
• 2005-09-28 → 2015-04-10
  Raymond James & Associates, Inc.
  Jacksonville, FL
  Melbourne, FL
  Jacksonville, FL
  Jacksonville, FL
• 2005-04-01 → 2005-09-20
  Robert W. Baird & Co. Incorporated
  Jacksonville, FL

Other Businesses

1. Trekdance LLC; 6300 N. Wickham Road, Suite 130-462 Melbourne FL 32940; Dance Walking Fitness Activity; President/Founder; Grow business through memberships, run marketing campaigns, conduct classes; 06/27/2023; 10.00hrs/week; Not during securities trading hours; Not Investment-Related

Exams

• S66 Uniform Combined State Law Examination
  2005-03-24
• S63 Uniform Securities Agent State Law Examination
  2003-06-16

Other Names

• Susan E Whitlock-Mercado
• Lisa Mercado
• Lisa Whitlock
• Lisa Whitlock-Mercado