Cecilia Mercado has been Chief Compliance Officer of Kovack Advisors since March 2024, is a control person of the firm and directly owns under 5% of it. Cecilia Mercado studied at the University of Puerto Rico.
Kovack Advisors, Inc. is a FT. Lauderdale, FL firm with $6.28B under management, 13,293 clients and 300 advisers across 199 offices, as of its April 2026 filing.
Cecilia Mercado is Chief Compliance Officer of Kovack Advisors, Inc. She joined Kovack Securities in August 2018 as a Compliance Associate and was promoted to Vice President of RIA Compliance in November 2020. In March 2024 she was promoted to Chief Compliance Officer for Kovack Advisors, Inc. Before joining Kovack, she was a Financial Consultant.
Investment adviser representative registrations
Cecilia Mercado is registered as an investment adviser representative in Florida, since March 2024.
- FloridaSince 29 March 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 13 December 2024 |
| Series 24 | General Securities Principal Examination | 11 December 2024 |
| Series 66 | Uniform Combined State Law Examination | 15 March 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 4 December 2007 |
- Name
- Municipal Securities Representative Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- CRD
- 5003364
- Firm
- Kovack Advisors · CRD 140808
- Role
- Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- kovackadvisors.com
Where does Cecilia Mercado work?
Cecilia Mercado has been Chief Compliance Officer of Kovack Advisors, Inc. since March 2024, and is a control person of the firm.
Is Cecilia Mercado a financial advisor?
Yes. Cecilia Mercado has a current investment-adviser registration in Florida, through Kovack Advisors since March 2024.
How many years of experience does Cecilia Mercado have?
Cecilia Mercado has 18 years in the financial industry, since February 2008, across 1 adviser firm.
What exams has Cecilia Mercado passed?
Cecilia Mercado has passed 4 licensing exams: the Series 7, Series 66, Series 24 and Series 52TO. The earliest, the Series 7, was passed in December 2007. FINRA credited Cecilia Mercado with the SIE, which began in October 2018.
Is Cecilia Mercado registered with FINRA?
Yes. Cecilia Mercado has a current broker registration, under CRD 5003364.
Source: FINRA BrokerCheck
How can I verify Cecilia Mercado’s record?
Search CRD 5003364 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Cecilia Mercado’s full registration record.