Donald Mercurio has been CEO & Chief Compliance Officer of Mercurio & Associates since April 2000, is a control person of the firm and directly owns 75% or more of it.
Mercurio & Associates Inc. is a Louisville, KY firm with $141M under management, 460 clients and 3 advisers in one office, as of its March 2026 filing.
D. Alan Mercurio is Founder/CEO of Mercurio Wealth Advisors in Louisville, Kentucky. He has worked in the insurance industry since 1986, when he became licensed in life and health insurance. He passed the Series 66 securities examination in 1997 and remains an active Investment Adviser Representative with the firm, formerly Mercurio & Associates, Inc. He hosts the Retirement 360 radio show every Sunday at 11 a.m. on NewsRadio 840 WHAS.
Donald Mercurio’s longest registration is the current one, 9 years at Mercurio & Associates since 2017. Before joining Mercurio & Associates in 2017, Donald Mercurio was registered through Global Financial Private Capital, LLC and First Allied Advisory Services, Inc.
- Mercurio Wealth AdvisorsCurrent– present · 9 yearsLouisville, KY · Adviser representative · Firm CRD 283632
- Global Financial Private Capital, LLC– · 5 yearsLouisville, KY · Adviser representative · Firm CRD 132070
- First Allied Advisory Services, Inc.– · 4 yearsLouisville, KY · Adviser representative · Firm CRD 137888
- FFP Advisory Services Inc– · under a yearLouisville, KY · Adviser representative · Firm CRD 110778
- FSC Securities Corporation– · 2 yearsLouisville, KY · Adviser representative · Firm CRD 7461
- Investacorp Advisory Services Inc– · 1 yearLouisville, KY · Adviser representative · Firm CRD 109011
- Linsco/Private Ledger Corp.– · under a yearLouisville, KY · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Donald Mercurio is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from January 2017; the most recent is Florida, in June 2021.
- FloridaSince 17 June 2021
- IndianaSince 23 January 2017
- KentuckySince 19 January 2017
- TexasResidentSince 5 April 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 11 March 2002 |
| Series 7 | General Securities Representative Examination | 18 November 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 May 1992 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 February 1987 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Donald Alan Mercurio
- CRD
- 1624265
- Firm
- Mercurio & Associates · CRD 283632
- Role
- CEO & Chief Compliance Officer
- Office
- 9100 SHELBYVILLE RD., SUITE 150, Louisville, KY 40222
- Registration
- Investment adviser registration
- In the industry since
- April 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mercurioadvisors.com
Where does Donald Mercurio work?
Donald Mercurio has been CEO & Chief Compliance Officer of Mercurio & Associates Inc. since April 2000, and is a control person of the firm.
Is Donald Mercurio a financial advisor?
Yes. Donald Mercurio has a current investment-adviser registration in Florida, Indiana, Kentucky and Texas, through Mercurio & Associates since January 2017.
How many years of experience does Donald Mercurio have?
Donald Mercurio has 24 years in the financial industry, since April 2002, across 7 adviser firms.
What exams has Donald Mercurio passed?
Donald Mercurio has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 66. The earliest, the Series 6, was passed in February 1987.
Where did Donald Mercurio work before Mercurio & Associates?
Before Mercurio & Associates, Donald Mercurio was registered through First Allied Advisory Services, Inc., January 2007 to August 2011; FFP Advisory Services Inc, June 2006 to January 2007; FSC Securities Corporation, October 2003 to June 2006; Investacorp Advisory Services Inc, October 2002 to November 2003; Linsco/Private Ledger Corp., March 2002 to September 2002.
Where is Donald Mercurio based?
Donald Mercurio’s registered office is in Louisville, KY.
Is Donald Mercurio registered with FINRA?
No. Donald Mercurio has no current broker registration.
How can I verify Donald Mercurio’s record?
Search CRD 1624265 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Donald Mercurio’s full registration record.
