Mercedes Barker has been CCO and Managing Member of Equilibria Wealth Management since February 2010, is a control person of the firm and directly owns between 25% and 50% of it.
Equilibria Wealth Management, LLC is a Katy, TX firm with $130M under management, 116 clients and 3 advisers in one office, as of its March 2026 filing.
Mercedes Barker is Chief Compliance Officer (CCO) & Options Trader of Equilibria Wealth Management. She is responsible for compliance for the firm as well as stock option portfolio creation and management. Barker co-founded a company that developed trading systems based on technical analysis, and she ran her own futures and commodities brokerage firm, serving as its Commodity Trading Advisor.
Mercedes Barker’s longest registration is the current one, 5 years at Equilibria Wealth Management since 2020. Before joining Equilibria Wealth Management in 2020, Mercedes Barker was registered through Summit Financial Group Inc and Wells Fargo Advisors Financial Network, LLC.
- – present · 5 yearsKaty, TX · Adviser representative · Firm CRD 311785
- Summit Financial Group Inc– · 5 yearsOdessa, TX · Adviser representative · Firm CRD 109485
- Wells Fargo Advisors Financial Network, LLC– · 5 yearsOdessa, TX · Adviser representative · Firm CRD 11025
- Wells Fargo Advisors, LLC– · 3 yearsOdessa, TX · Adviser representative · Firm CRD 19616
Professional designations
Listed by Equilibria Wealth Management
- Certified Divorce Financial Analyst (CDFA®)
Investment adviser representative registrations
Mercedes Barker is registered as an investment adviser representative in Texas, since December 2020.
- TexasSince 15 December 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 30 August 2010 |
| Series 65 | Uniform Investment Adviser Law Examination | 9 January 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 December 2006 |
| Series 7 | General Securities Representative Examination | 31 October 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mercedes Gabrielle Barker
- CRD
- 5232805
- Firm
- Equilibria Wealth Management · CRD 311785
- Role
- CCO and Managing Member
- Office
- 24285 KATY FREEWAY, SUITE 300, Katy, TX 77494
- Registration
- Investment adviser registration
- In the industry since
- October 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- equilibriawealthmanagement.com
Where does Mercedes Barker work?
Mercedes Barker has been CCO and Managing Member of Equilibria Wealth Management, LLC since February 2010, and is a control person of the firm.
Is Mercedes Barker a financial advisor?
Yes. Mercedes Barker has a current investment-adviser registration in Texas, through Equilibria Wealth Management since December 2020.
How many years of experience does Mercedes Barker have?
Mercedes Barker has 19 years in the financial industry, since October 2006, across 4 adviser firms.
What exams has Mercedes Barker passed?
Mercedes Barker has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 9. The earliest, the Series 7, was passed in October 2006. FINRA credited Mercedes Barker with the SIE, which began in October 2018.
Where did Mercedes Barker work before Equilibria Wealth Management?
Before Equilibria Wealth Management, Mercedes Barker was registered through Wells Fargo Advisors Financial Network, LLC, May 2010 to August 2015; Wells Fargo Advisors, LLC, January 2007 to May 2010.
Where is Mercedes Barker based?
Mercedes Barker’s registered office is in Katy, TX.
Is Mercedes Barker registered with FINRA?
No. Mercedes Barker has no current broker registration.
How can I verify Mercedes Barker’s record?
Search CRD 5232805 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mercedes Barker’s full registration record.
