Jonathan D. Marquis
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.
Jonathan D Marquis, who also goes by Jonny Marquis, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2009. Jonathan had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2019 - August 2, 2019
USAA FINANCIAL ADVISORS, INC.
February 26, 2019 - August 2, 2019
USAA INVESTMENT SERVICES COMPANY
July 13, 2012 - December 8, 2017
MML INVESTORS SERVICES, LLC
June 2, 2010 - December 8, 2017
MML INVESTORS SERVICES, LLC
September 30, 2009 - November 23, 2009
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
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.
