JM
James P. Marquardt
RBC CAPITAL MARKETS | Financial Advisor
Rochester, MN 55901-5024
Some features on this profile are disabled
CRD#: 1863266
JM
Professional summary
James Paul Marquardt, CFP®, ChFC®, CLU®, who also goes by Jim Marquardt, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Rochester, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Estate Planning
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
Jim Marquardt
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)Name of Business: Bremer Bank Address: 45 28th St SE, Rochester, MN, 55904, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 01/26/2015 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Financial Advisor (2)Name of Business: Bremer Investments Address: 45 28th St SE, Rochester, MN, 55904, United States Activity Type: Support Company - Non Owner Associate Position/Title: Other Investment Related: No Start Date: 05/17/2018 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: The Division of the previously approved Bank OBA, operating as a financial advisor for Bremer. (3)Name of Business: Marquardt, Jim and Susan Address: 17752 620th St , Dodge Center, MN, 55927, United States Activity Type: Control Person Position/Title: Trustee (Acting) Investment Related: Yes Start Date: 05/17/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Trustee for life insurance irrevocable trust for my parents. Review 3 life policies annually, Pay premiums, process deposit of annual gift, send Crummey notices annually to 3 beneficiaries, including myself. (4)Name of Business: Trimarq, LLC Address: 17752 620th St, Dodge Center, MN, 55927, United States Activity Type: Rental Real Estate Position/Title: Investment Related: Yes Start Date: 04/01/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (5) NAME OF ENTITY: Trimarq, LLC ADDRESS: 17752 620th St, Dodge Center, MN, 55927 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 01/05/2013 CAPACITY: Manager DUTIES: Manager of family farm owned by LLC. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (6) NAME OF ENTITY: Dodge Center Housing and Redevelopment Authority ADDRESS: 111 2nd St SW, Dodge Center, MN, 55927 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Government Institution START DATE: 01/05/1999 CAPACITY: Board of Directors DUTIES: Member of 5 person board HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (7) NAME OF ENTITY: Grace Lutheran Church ADDRESS: 414 Central Ave N Dodge Center MN 55927 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: 01/05/2024 CAPACITY: Board of Directors DUTIES: Member of 4 person board making decisions about the physical property of the church, maintenance and upkeep. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
CRS (Client Relationship Summary) - RIA
Click below to view James Paul Marquardt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Paul Marquardt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2008
Experience
Current
April 22, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2064 Superior Dr. Nw, Rochester, MN 55901-5024RIA
BD
CRD#: 31194
Rochester, MN
Current
April 22, 2025 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2064 Superior Dr. Nw, Rochester, MN 55901-5024RIA
BD
CRD#: 31194
Rochester, MN
Past
January 27, 2015 - April 23, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ROCHESTER, MN
Past
January 26, 2015 - April 23, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ROCHESTER, MN
Past
January 21, 2014 - January 27, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCHESTER, MN
Past
October 6, 2004 - January 27, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCHESTER, MN
Past
August 12, 2004 - September 15, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
January 3, 2000 - August 17, 2004
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
February 17, 1998 - January 12, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
August 5, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
August 5, 1988 - February 13, 1998
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/22/2025)
RR
Colorado(4/22/2025)
RR
Florida(4/22/2025)
RR
Illinois(4/22/2025)
RR
Indiana(4/22/2025)
RR
Iowa(4/22/2025)
RR
Kansas(4/22/2025)
RR
Kentucky(4/22/2025)
RR
Maine(4/23/2025)
RR
Maryland(4/22/2025)
RR
Michigan(4/22/2025)
RR
Minnesota(4/22/2025)
IAR
Minnesota(4/22/2025)
RR
Missouri(4/22/2025)
RR
Nebraska(4/22/2025)
RR
Nevada(4/22/2025)
RR
New Jersey(4/22/2025)
RR
Oregon(4/22/2025)
RR
South Dakota(4/22/2025)
RR
Texas(4/22/2025)
IAR
Texas(4/22/2025)
RR
Wisconsin(4/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RBC CAPITAL MARKETS, LLC
Financial AdvisorCRD#: 31194Rochester, MN 55901-5024TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
