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Joe A Mercer

Morgan Stanley

Indianapolis, IN

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-12-06
IN RA APPROVED 2020-12-11
  • TX RA
    APPROVED
    Since 2024-12-06
  • IN RA
    APPROVED
    Since 2020-12-11

Branch Locations

111 Monument Circle Suite 3100, Indianapolis, IN 46204 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Indianapolis IN 08/2007 12/2020
Bank Of America, Na Indianapolis IN 12/2009 12/2020
Morgan Stanley Smith Barney Llc Indianapolis IN 12/2020 Present
Morgan Stanley Private Bank, N.A New York NY 12/2020 Present
  • 08/2007 → 12/2020
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Indianapolis, IN
  • 12/2009 → 12/2020
    Bank Of America, Na
    Indianapolis, IN
  • 12/2020 → Present
    Morgan Stanley Smith Barney Llc
    Indianapolis, IN
  • 12/2020 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-06
  • S66 Uniform Combined State Law Examination
    2007-12-06
Other Names
  • Joe Mercer
  • Joseph A Mercer

View on SEC IAPD

Other Firms

SANCTUARY ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
NORTHWEST FINANCIAL SERVICES INC
INVESTMENT ADVISORS OF INDIANAPOLIS INC
BAXTER CAPITAL MANAGEMENT INC
CRF FINANCIAL GROUP
NORTHBOUND WEALTH
LPL FINANCIAL LLC

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Other Offices

SANCTUARY ADVISORS, LLC · Indianapolis, IN
SANCTUARY ADVISORS, LLC · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
NORTHWEST FINANCIAL SERVICES INC · INDIANAPOLIS, IN
NORTHWEST FINANCIAL SERVICES INC · Indianapolis, IN
INVESTMENT ADVISORS OF INDIANAPOLIS INC · INDIANAPOLIS, IN
BAXTER CAPITAL MANAGEMENT INC · INDIANAPOLIS, IN

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