Marcos N. Marquez De La Plata
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.
Marcos Nathan Marquez De La Plata, who also goes by Marcos Nathan Marquezdelaplata, was a registered financial professional .
Marcos is a previously registered financial professional and started their career in finance in 1999. Marcos had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2014 - October 1, 2015
FFEC WEALTH PARTNERS LLC
December 17, 2013 - October 1, 2015
FFEC WEALTH PARTNERS LLC
March 25, 2011 - December 19, 2013
LPL FINANCIAL LLC
March 25, 2011 - December 19, 2013
LPL FINANCIAL LLC
August 22, 2007 - March 29, 2011
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - March 29, 2011
CHASE INVESTMENT SERVICES CORP.
July 19, 1999 - July 6, 2005
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
