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Marcos Q. Fuentes

Some features on this profile are disabled
CRD#: 4724243
MF

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 Quirino Fuentes, who also goes by Mark Quirino Fuentes, Mark Fuentes, was a registered financial professional .

Marcos is a previously registered financial professional and started their career in finance in 2005. Marcos had worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Quirino Fuentes | Mark Fuentes

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 19, 2020 - January 12, 2026

ASHFORD SECURITIES LLC

BD
CRD#: 305330
DALLAS, TX
Past

February 16, 2017 - January 7, 2020

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

April 28, 2014 - October 2, 2015

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
DALLAS, TX
Past

November 22, 2005 - May 16, 2012

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
ADDISON, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/20/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/29/2020
General Securities Principal Examination

Current Firm

AS
ASHFORD SECURITIES LLC
ASHFORD SECURITIES LLC

CRD#: 305330 / SEC#: , 8-70405

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

Main Address
14185 Dallas Parkway, Suite 780, Dallas, TX 75254
Mailing Address
14185 Dallas Parkway, Suite 780, Dallas, TX 75254
Phone number
(469) 729-0500
Established
Delaware since 07/15/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 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#
KYLEMORE HOLDINGS LLCSOLE MEMBER
MOORE, PETER ALFRED JRCHIEF COMPLIANCE OFFICER1979755
STEIGERWALD, CARL JACOB IIICEO1231837
SUMNER, GARRETT BRUCE JRFINOP/ PFO/ POO6320306

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

ASHFORD SECURITIES LLC

CRD#: 305330

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