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Louis Kavinore Mercer

Charles Schwab & Co., Inc.

Pacifica, CA

Westlake, TX

CRD 3225407

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

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

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-04-09
  • CA RA
    APPROVED
    Since 2025-04-09

Branch Locations

Pacifica, CA • United States

3000 Schwab Way, Westlake, TX 76262-8104 • 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
Optionsxpress, Inc. San Francisco CA 09/2012 10/2017
Charles Schwab & Co., Inc. Pacifica CA 04/2006 Present
Other Businesses

1) Louis Mercer|Investment Related: No|1915 Riverside ave, paso robles, CA, 93446, usa |Real Estate (Non-Agent/Broker)|Owner|9/14/2018|Varies hour/month - 0 during trading hours|I have a rental property in paso robles and ventura that I airbnb

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-08
S63 Uniform Securities Agent State Law Examination 1999-11-13
  • S65 Uniform Investment Adviser Law Examination
    2025-04-08
  • S63 Uniform Securities Agent State Law Examination
    1999-11-13
Other Names
  • Loui K Mercer
  • Loui K Mercer
  • Louie K Mercer
  • Lou Mercer

View on SEC IAPD

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