Sergio Michael Marquez
CFP®Professional Summary
Sergio Michael Marquez, CFP® is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Wellington, Florida and FIDELITY BROKERAGE SERVICES LLC located in Boca Raton, Florida. Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Sergio has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Insurance Planning
- Investment Planning
- Comprehensive Financial Planning
- Retirement Planning
Biography
I have been with Fidelity for over 22 years. During this time I have worked with many clients and families like yours to develop great relationships while helping them plan for and work towards reaching their financial goals. Doing business with Fidelity provides you access to our trusted brand, our industry leading technology, our cost efficient investments , and the ability to work closely with me and my team
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
25 years in the financial services industry
Current & Past Employments
Education
Florida State University
Finance, Bachelor of Science (BS)
Finance, Bachelor of Science (BS)
2000
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Current Firm
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
Contact Information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698Phone Number
(617) 563-7000# of Employees
17,112SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,973,512AUM (Assets Under Management)
$1,370,125,325,211Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
State Registrations and Notice Filings
(1/4/2019)
(1/3/2020)
(1/6/2016)
(8/21/2017)
(6/29/2001)
(7/19/2024)
(4/8/2026)
(3/28/2001)
(3/31/2025)
(1/6/2016)
(4/9/2004)
(4/8/2026)
(8/21/2017)
(6/29/2001)
(4/23/2020)
(5/26/2026)
(6/28/2021)
(3/4/2022)
(6/29/2001)
(3/21/2001)
(8/13/2021)
(6/29/2001)
(4/12/2004)
(8/30/2006)
(1/4/2019)
(8/26/2021)
(2/12/2021)
(3/31/2025)
(2/12/2021)
(8/30/2006)
(2/12/2021)
(1/3/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Sergio Michael Marquez's CRS (Customer Relationship Summary).
Services Offered by Sergio
- Insurance Planning
- Investment Planning
- Comprehensive Financial Planning
- Retirement Planning
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