Daniel Rosado Mercado

Employer firm

Regal Investment Advisors LLC CRD 125004

$2.88B regulatory AUM 61 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 05/2008 → 06/2019
  First Allied Securities, Inc.
  North Branford, CT
• 05/2008 → 06/2019
  First Allied Advisory Services, Inc.
  North Branford, CT
• 07/2019 → 11/2023
  Sorrento Pacific Financial, Llc
  San Diego, CA
• 08/2013 → Present
  Mercado Financial Group, Llc
  North Brandford, CT
• 07/2019 → 06/2025
  Schorn Wealth
  North Branford, CT
• 07/2025 → Present
  Regal Investment Advisors, Llc
  Kentwood, MI

Previous Registrations

• 2019-07-05 → 2025-06-20
  Schorn Wealth
  Englewood, FL
  Wesley Chapel, FL
• 2019-07-03 → 2022-09-23
  Sorrento Pacific Financial, Llc
  San Diego, CA
  Westly Chapel, FL
  North Branford, CT
• 2007-01-03 → 2019-07-01
  First Allied Advisory Services, Inc.
  North Brandford, CT
  Chesterfield, MO
  North Branford, CT
• 1997-07-15 → 2007-01-03
  Ffp Advisory Services Inc
  North Branford, CT

Other Businesses

Business Name: Mercado Financial Group, LLC DBA Mercado Wealth - Investment Related: Yes - Address: 32266 Talimena Loop, Wesley Chapel, FL 33543 - Nature of Business: Investment Advisory Activities through Regal Investment Advisors, LLC using a DBA name; Insurance - Title or Relationship: Investment Advisor Representative/Agent - Start Date: 7/2/2025 - Hours per month: 160 - Hours per month during trading hours: 135 - Duties: Provide insurance and financial services.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-07
• S63 Uniform Securities Agent State Law Examination
  1996-06-07

Other Names

• Daniel R Mercado