Marjorie C. Carbajal

FIGTREE FINANCIAL ADVISORS

Santa Clara, CA 95054

Some features on this profile are disabled

CRD#: 4759556

Professional summary

Marjorie Casem Carbajal is a registered financial advisor currently at FIGTREE FINANCIAL ADVISORS, LLC located in Santa Clara, California.

Marjorie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Marjorie has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Marjorie Casem Carbajal'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®

None

Experience

Current

April 26, 2019 - Present

FIGTREE FINANCIAL ADVISORS, LLC

Office #1: 5201 Great America Parkway Suite 320, Santa Clara, CA 95054

RIA

CRD#: 301517

Santa Clara, CA

Past

July 19, 2017 - August 2, 2019

PROSPERITY FINANCIAL GROUP, INC.

RIA

CRD#: 145540

Santa Clara, CA

Past

December 3, 2012 - June 26, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SANTA CLARA, CA

Past

July 21, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 21, 2004 - June 26, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SANTA CLARA, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(4/26/2019)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/2/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2004

General Securities Representative Examination

Current Firm

FIGTREE FINANCIAL ADVISORS, LLC

FIGTREE FINANCIAL ADVISORS | FIGTREE FINANCIAL ADVISORS, LLC

CRD#: 301517 / SEC#: 801-115102

RIA

Registered Investment Advisory firm - (8/26/2019 Terminated)

California

Registered Investment Advisory firm - (8/22/2019 Approved)

Texas

Registered Investment Advisory firm - (2/17/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5201 Great America Parkway Suite 320, Santa Clara, CA 95054

Mailing Address

Phone number

(408) 891-3574

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	173
AUM (Assets Under Management)	$ 29,121,264

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Ronald Guay

FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marjorie C. Carbajal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marjorie Casem Carbajal's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIGTREE FINANCIAL ADVISORS, LLC

PROSPERITY FINANCIAL GROUP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2004

SIE

Date: 6/26/2017

Series 7

Date: 6/4/2004

Current Firm

FIGTREE FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIGTREE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors