Robert E. Marquez
Professional summary
Robert Emmett Marquez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Robert had worked at 10 firms, which includes INVESTMENT NETWORK INC., EDI FINANCIAL INC., COLORADO FINANCIAL SERVICE CORPORATION, BROOKSTONE SECURITIES INC., EMPIRE FINANCIAL GROUP INC., RYAN BECK & CO., CAPITAL GROWTH FINANCIAL LLC, DALTON KENT SECURITIES GROUP INC., TRADE.COM ONLINE SECURITIES INC., COMMONWEALTH ASSOCIATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2017 - November 6, 2023
INVESTMENT NETWORK, INC.
May 14, 2013 - December 31, 2016
EDI FINANCIAL, INC.
June 22, 2012 - June 6, 2013
COLORADO FINANCIAL SERVICE CORPORATION
December 11, 2008 - June 21, 2012
BROOKSTONE SECURITIES, INC.
June 3, 2004 - December 23, 2008
EMPIRE FINANCIAL GROUP, INC.
April 29, 2002 - June 7, 2004
RYAN BECK & CO.
July 6, 2001 - May 1, 2002
CAPITAL GROWTH FINANCIAL, LLC
April 3, 2001 - July 6, 2001
DALTON KENT SECURITIES GROUP, INC.
March 8, 1996 - May 15, 2001
TRADE.COM ONLINE SECURITIES, INC.
September 14, 1992 - March 15, 1996
COMMONWEALTH ASSOCIATES
State Registrations and Notice Filings
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Exams
Current Firm
INVESTMENT NETWORK, INC.
CRD#: 127724 / SEC#: , 8-66036
Contact information
FINRA licenses (27 States and Territories)
Disclosures
| Regulatory Event | 2 |
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