Raymond J. Marquez
Professional summary
Raymond Joseph Marquez JR., CFP®, who also goes by Raymond Joseph Marquez Jr, Raymond Joseph Marquez, Raymond Marquez, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Durham, North Carolina.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 2005. Raymond has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Raymond Joseph Marquez JR.'s CRS (Customer Relationship Summary).
Certified licenses
Start date: 2009
Experience
May 31, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 New Millennium Way, Durham, NC 27709April 26, 2019 - May 22, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 2019 - May 22, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 18, 2015 - April 15, 2019
SCHWAB WEALTH ADVISORY, INC.
December 18, 2015 - April 15, 2019
CHARLES SCHWAB & CO., INC.
April 29, 2011 - August 11, 2014
NAVY FEDERAL ASSET MANAGEMENT, LLC
December 1, 2009 - August 11, 2014
NAVY FEDERAL INVESTMENT SERVICES, LLC
April 14, 2008 - November 16, 2009
STRATEGIC ADVISERS LLC
September 6, 2006 - November 16, 2009
FIDELITY BROKERAGE SERVICES LLC
March 8, 2005 - June 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 8, 2005 - June 21, 2006
IDS LIFE INSURANCE COMPANY
March 8, 2005 - June 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/21/2022)
(6/2/2022)
(6/1/2022)
(5/31/2022)
Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Durham, NC 27709TRUST BUT VERIFY
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