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For Advisors
NM

Noel A. Marroquin

ROBINHOOD FINANCIAL
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5713273
NM

Professional summary

Noel A Marroquin, who also goes by Noel Antonio Marroquin, Noel A Marroquin, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Chicago, Illinois.

Noel is registered as a RR (Registered Representative) and started their career in finance in 2012. Noel has worked at 10 firms and has passed the Series 65, Series 63, Series 34, SIE, Series 3, Series 7 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Noel Antonio Marroquin | Noel A Marroquin

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) - BD

Click below to view Noel A Marroquin's CRS (Customer Relationship Summary).
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

July 5, 2024 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 151 N Franklin St Floor 29, Chicago, IL 60606
BD
CRD#: 165998
Chicago, IL
Past

October 13, 2023 - June 18, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
OAK BROOK, IL
Past

October 13, 2023 - June 18, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
OAK BROOK, IL
Past

September 5, 2023 - September 28, 2023

MORGAN STANLEY

RIA
CRD#: 149777
Chicago, IL
Past

March 3, 2023 - September 28, 2023

MORGAN STANLEY

BD
CRD#: 149777
Chicago, IL
Past

April 12, 2022 - September 5, 2023

HARRISDIRECT LLC

RIA
CRD#: 42159
CHICAGO, IL
Past

April 12, 2022 - September 5, 2023

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHICAGO, IL
Past

July 12, 2021 - October 25, 2021

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Chicago, IL
Past

April 26, 2021 - October 25, 2021

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Chicago, IL
Past

October 31, 2017 - April 26, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
CHICAGO, IL
Past

April 21, 2014 - October 12, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Chicago, IL
Past

November 9, 2012 - February 5, 2013

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
LOMBARD, IL
Past

February 13, 2012 - May 2, 2012

OPTIONSXPRESS, INC.

BD
CRD#: 103849
CHICAGO, IL
Past

February 13, 2012 - May 2, 2012

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

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

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
Alabama
(7/5/2024)
RR
Alaska
(7/5/2024)
RR
Arizona
(7/5/2024)
RR
Arkansas
(7/5/2024)
RR
California
(7/5/2024)
RR
Colorado
(7/5/2024)
RR
Connecticut
(7/5/2024)
RR
Delaware
(7/5/2024)
RR
District of Columbia
(7/5/2024)
RR
Florida
(7/5/2024)
RR
Georgia
(7/5/2024)
RR
Hawaii
(7/5/2024)
RR
Idaho
(7/5/2024)
RR
Illinois
(7/5/2024)
RR
Indiana
(7/5/2024)
RR
Iowa
(7/5/2024)
RR
Kansas
(7/5/2024)
RR
Kentucky
(7/5/2024)
RR
Louisiana
(7/5/2024)
RR
Maine
(7/5/2024)
RR
Maryland
(7/5/2024)
RR
Massachusetts
(7/5/2024)
RR
Michigan
(7/5/2024)
RR
Minnesota
(7/5/2024)
RR
Mississippi
(7/5/2024)
RR
Missouri
(7/5/2024)
RR
Montana
(7/5/2024)
RR
Nebraska
(7/5/2024)
RR
Nevada
(7/5/2024)
RR
New Hampshire
(7/5/2024)
RR
New Jersey
(7/5/2024)
RR
New Mexico
(7/5/2024)
RR
New York
(7/5/2024)
RR
North Carolina
(7/5/2024)
RR
North Dakota
(7/5/2024)
RR
Ohio
(7/8/2024)
RR
Oklahoma
(7/5/2024)
RR
Oregon
(7/5/2024)
RR
Pennsylvania
(7/5/2024)
RR
Puerto Rico
(7/5/2024)
RR
Rhode Island
(7/5/2024)
RR
South Carolina
(7/5/2024)
RR
South Dakota
(7/5/2024)
RR
Tennessee
(7/5/2024)
RR
Texas
(7/5/2024)
RR
Utah
(7/5/2024)
RR
Vermont
(7/5/2024)
RR
Virgin Islands
(7/5/2024)
RR
Virginia
(7/5/2024)
RR
Washington
(7/5/2024)
RR
West Virginia
(7/5/2024)
RR
Wisconsin
(7/5/2024)
RR
Wyoming
(7/5/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/12/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/18/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 34
Date: 4/1/2019
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/18/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/19/2012
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC

CRD#: 165998 / SEC#: , 8-69188

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

Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
ROBINHOOD MARKETS, INC100% OWNER
BILLINGS, MATTHEW JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1915377
CAVALLARO, ANTHONY JOSEPHCHIEF COMPLIANCE OFFICER1607925
GALVIN, SCOT SEANPRINCIPAL OPERATIONS OFFICER3226179
KELATI, DANIEL TCHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP3103432
KOLLER, WALTERCHIEF OPERATING OFFICER1932260
QUIRK, STEVEN MARKMANAGER2728768
SUBRAMANIAN, SIVARAMAKRISHNANMANAGER7339479

Disclosures

Regulatory Event55
Arbitration6

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

ROBINHOOD FINANCIAL, LLC

CRD#: 165998Chicago, IL 60606

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