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Christopher Freitas Mercado

Mariner Advisor Network

Danville, CA

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Current Employers
Mariner Advisor Network

5700 W 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-04-04
  • CA RA
    APPROVED
    Since 2022-04-04

Branch Locations

500 La Gonda Way Suite 280, Danville, CA 94526 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Danville CA 02/2012 Present
Mariner Independent Advisor Network, Llc Danville CA 11/2014 Present
  • 02/2012 → Present
    Lpl Financial, Llc
    Danville, CA
  • 11/2014 → Present
    Mariner Independent Advisor Network, Llc
    Danville, CA
Previous Registrations
  • 2009-08-05 → 2012-02-06
    Uvest Financial Services Group, Inc.
    San Diego, CA
    Charlotte, NC
Other Businesses

1) 09/14/2022 - Mariner Advisor Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/15/22 2) 3/10/2023 - Mercado Venture Partners - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 01/24/2023 - 0 Hours Per Month/0 Hours During Securities Trading 3) 05/22/2023 - Mariner Independent Advisor Network - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 03/31/2023 - 160 Hours Per Month/ 160 Hours During Securities Trading - I provide investment advisory services through Mariner Independent Advisor Network LLC an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-14
S65 Uniform Investment Adviser Law Examination 1998-11-02
S63 Uniform Securities Agent State Law Examination 1998-01-27
  • S66 Uniform Combined State Law Examination
    2005-11-14
  • S65 Uniform Investment Adviser Law Examination
    1998-11-02
  • S63 Uniform Securities Agent State Law Examination
    1998-01-27
Other Names
  • Christopher Randall Freitasmercado
  • Christopher Freitas Mercado
  • Christopher Randall Mercado

View on SEC IAPD

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