Broker Check
David P. Mercadante, MBA

David P. Mercadante, MBA

Agency Control Officer

David joined The Bulfinch Group in July 2011 as the Agency Control Officer (ACO) after spending the previous five years as a Senior Examiner with FINRA. His role is to manage the compliance program, establish risk based controls, and ensure that the firm meets its regulatory obligations, while protecting the firm and its clients. He brings nearly 20 years’ experience in investments and accounting and various compliance roles for two regional bank broker dealers as well as for Fidelity Investments.

David has a BS in Finance, an MBA, and has completed his Certified Fraud Examiner and Certified Regulatory Compliance Manager examinations. David resides in Raynham with his wife. He is also an active member of his church, is a musician, and enjoys playing golf and tennis.

 

 

Registered Representative & Investment Advisor of Park Avenue Securities.