Joseph L. Marquez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Luis Marquez, who also goes by Lou Marquez, Moseph Marquez, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2015 - April 25, 2017
JOSEPH STONE CAPITAL L.L.C.
November 17, 2006 - November 22, 2006
BASIC INVESTORS INC.
August 8, 2006 - November 28, 2006
WESTPARK CAPITAL, INC.
December 16, 2003 - July 25, 2006
GUNNALLEN FINANCIAL, INC
August 29, 2002 - December 19, 2003
WFG INVESTMENTS, INC.
October 19, 2001 - August 30, 2002
SCHNEIDER SECURITIES, INC.
January 1, 1999 - October 25, 2001
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
