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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-03
FL RA APPROVED 2016-11-15
  • TX RA
    APPROVED_RES
    Since 2020-04-03
  • FL RA
    APPROVED
    Since 2016-11-15

Branch Locations

6769 North Wickham Road, Suite B100, Melbourne, FL 32940 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Advisors Llc Denver CO 04/2015 10/2016
Stifel Nicolaus & Co Inc Melbourne FL 11/2016 Present
  • 04/2015 → 10/2016
    Cetera Advisors Llc
    Denver, CO
  • 11/2016 → Present
    Stifel Nicolaus & Co Inc
    Melbourne, FL
Previous Registrations
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
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-24
S63 Uniform Securities Agent State Law Examination 2003-06-16
  • 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

View on SEC IAPD

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Other Investors

Other Offices

More in Melbourne, FL

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