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LM

Luis Marquez

LAIDLAW & COMPANY (UK) LTD.
Boca Raton, FL 33486
Some features on this profile are disabled
CRD#: 2740741
LM

Professional summary

Luis Marquez is a registered financial professional currently at LAIDLAW & COMPANY (UK) LTD. located in Boca Raton, Florida.

Luis is registered as a RR (Registered Representative) and started their career in finance in 1998. Luis has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Luis Marquez's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 30, 2013 - Present

LAIDLAW & COMPANY (UK) LTD.

Office #1: One Town Center Road Suite 202, Boca Raton, FL 33486
BD
CRD#: 119037
Boca Raton, FL
Past

September 22, 2006 - February 1, 2013

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

March 18, 2005 - September 22, 2006

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
BOCA RATON, FL
Past

August 17, 2004 - March 18, 2005

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

July 3, 2001 - August 19, 2004

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

January 2, 2001 - July 10, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

September 23, 1998 - January 2, 2001

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

July 24, 1998 - September 29, 1998

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

January 23, 1998 - July 24, 1998

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(2/4/2013)
RR
Colorado
(2/4/2013)
RR
Florida
(1/30/2013)
RR
Iowa
(2/4/2013)
RR
Massachusetts
(2/4/2013)
RR
Nevada
(5/1/2017)
RR
New York
(2/4/2013)
RR
Pennsylvania
(2/4/2013)
RR
Texas
(2/4/2013)
RR
West Virginia
(8/24/2015)
RR
Wisconsin
(2/4/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 2/6/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

L&
LAIDLAW & COMPANY (UK) LTD.
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.

CRD#: 119037 / SEC#: , 8-53731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZ
Mailing Address
521 5th Avenue 12th Fl, New York, NY 10175
Phone number
(212) 697-5200
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAIDLAW HOLDINGS LTDOWNER
BELLO, JAMES ALANCCO2844016
DAPONTE, ARTHUR JARRODFINOP7801577
EITNER, MATTHEW DCHIEF EXECUTIVE OFFICER3267261
REGAN, HUGHDIRECTOR - INVESTMENT BANKING1254114
SILVERMAN, PETER HOWARDSEO/BRANCH MANAGER1239510

Disclosures

Regulatory Event9
Arbitration4

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

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037Boca Raton, FL 33486

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