RM
Randall R. Marquez
CITIZENS SECURITIES
Scotch Plains, NJ 07076
Some features on this profile are disabled
CRD#: 4264308
RM
Professional summary
Randall Rosendo Marquez, who also goes by Randall Marquez, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Scotch Plains, New Jersey.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Randall has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randall Marquez
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.
Name of Outside Business:Actor; Investment Related:No; Address of Outside Business:New York, NY; Nature of Outside Business:Other; Position:Actor; Start Date:5/19/2014; Hours per month: 0-10; Hours per month during securities trading hours: Yes; Description of Duties: I occasionaly work on a TV show, film or theater production.
CRS (Client Relationship Summary) - RIA
Click below to view Randall Rosendo Marquez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randall Rosendo Marquez's 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®
NoneExperience
Current
November 20, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 437 Park Ave Ms: Nj217, Scotch Plains, NJ 07076Office #2: 393 Springfield Ave Nj227, Summit, NJ 07901Office #3: 169 Main St Nj112, Chatham, NJ 07928Office #4: 45 Essex Street Nj181, Millburn, NJ 07041RIA
BD
CRD#: 39550
Scotch Plains, NJ
Current
November 20, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 437 Park Ave Ms: Nj217, Scotch Plains, NJ 07076Office #2: 393 Springfield Ave Nj227, Summit, NJ 07901Office #3: 169 Main St Nj112, Chatham, NJ 07928Office #4: 45 Essex Street Nj181, Millburn, NJ 07041RIA
BD
CRD#: 39550
Scotch Plains, NJ
Past
May 17, 2022 - December 3, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Millburn, NJ
Past
January 26, 2022 - December 3, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Millburn, NJ
Past
July 17, 2007 - October 14, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
Millburn, NJ
Past
July 17, 2007 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Millburn, NJ
Past
July 16, 2007 - July 29, 2024
TD AMERITRADE, INC.
BD
CRD#: 7870
Millburn, NJ
Past
August 7, 2003 - November 27, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
EAST PALO ALTO, CA
Past
July 1, 2003 - November 27, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
EAST PALO ALTO, CA
Past
December 16, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 2, 2001 - March 19, 2001
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
New Jersey(11/20/2024)
IAR
New Jersey(11/20/2024)
RR
New York(5/13/2025)
IAR
New York(5/13/2025)
RR
Pennsylvania(11/21/2024)
IAR
Pennsylvania(11/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
