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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

SUSAN E. WHITLOCK-MERCADO

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

MELBOURNE, FL

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Search this name across graphsid dfx:ria:52317fa3-e9c0-970f-a3d0-c30af4350509

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 1, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STIFEL, NICOLAUS & COMPANY, INCORPORATED
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 16, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 16, 2003
First registration: Apr 1, 2005
Dual registered: yes, broker-dealer
Other names: SUSAN E WHITLOCK-MERCADO|LISA MERCADO|LISA WHITLOCK|Lisa WHITLOCK-MERCADO
IAPD individual key: 4143249

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Nov 15, 2016	n/a	yes	MELBOURNE, FL	Current employment
CETERA ADVISORS LLC	Former SEC adviser	Apr 28, 2015	Oct 12, 2016	no	MELBOURNE, FL	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Sep 28, 2005	Apr 10, 2015	no	JACKSONVILLE, FL\|MELBOURNE, FL\|JACKSONVILLE, FL\|JACKSONVILLE, FL	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Apr 1, 2005	Sep 20, 2005	no	JACKSONVILLE, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA ADVISORS LLC	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Oct 12, 2016	Nov 15, 2016	34	Firm change	Other
RAYMOND JAMES & ASSOCIATES, INC.	CETERA ADVISORS LLC	Apr 10, 2015	Apr 28, 2015	18	Firm change	Other
ROBERT W. BAIRD & CO. INCORPORATED	RAYMOND JAMES & ASSOCIATES, INC.	Sep 20, 2005	Sep 28, 2005	8	Firm change	Other

Relationships

Registered with (4)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Nov 15, 2016 to presentfactForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Apr 28, 2015 to Oct 12, 2016factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Sep 28, 2005 to Apr 10, 2015factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Apr 1, 2005 to Sep 20, 2005factForm ADV

Dated events

No dated event names this entity yet.