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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

MICHAEL MERCADO

Advisor at WELLS FARGO ADVISORS

TUCSON, AZ | WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:9bf1a239-c64c-f0f4-2e84-a03352f1a014

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 17, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 17, 1996
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
Other names: MICHAEL CRAY MERCADO
IAPD individual key: 2708115

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
WELLS FARGO ADVISORS	Wirehouse	Mar 6, 2023	n/a	yes	WALNUT CREEK, CA\|TUCSON, AZ	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jul 15, 2011	Mar 6, 2023	no	WALNUT CREEK, CA\|ALAMO, CA\|WALNUT CREEK, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Jul 18, 2011	no	ALAMO, CA\|WALNUT CREEK, CA\|WALNUT CREEK, CA\|WALNUT CREEK, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Aug 25, 2003	Oct 23, 2009	no	WALNUT CREEK, CA\|ALAMO, CA\|WALNUT CREEK, CA\|WALNUT CREEK, CA\|OAKLAND, CA\|OAKLAND, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 8, 1997	Sep 3, 2003	no	WALNUT CREEK, CA	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
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Mar 6, 2023	Mar 6, 2023	0	Channel change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Jul 18, 2011	Jul 15, 2011	-3	Firm change	Wirehouse to wirehouse
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Sep 3, 2003	Aug 25, 2003	-9	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:11025:CA:2023-03-06	Mar 6, 2023	Mar 6, 2023	WALNUT CREEK, CA	Firm change

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Mar 6, 2023 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 15, 2011 to Mar 6, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Jul 18, 2011factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 25, 2003 to Oct 23, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Sep 3, 2003factForm ADV

Dated events

No dated event names this entity yet.