Abraham E. Marquez

CETERA INVESTMENT ADVISERS LLC

MCALLEN, TX 78501

Some features on this profile are disabled

CRD#: 5716997

Professional summary

Abraham Eli Marquez, who also goes by Abe Marquez, Abraham E Marquez, Abraham E. Marquez, Abraham Marquez, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mcallen, Texas and CETERA INVESTMENT SERVICES LLC located in Mcallen, Texas.

Abraham is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Abraham has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Abe Marquez | Abraham E Marquez | Abraham E. Marquez | Abraham Marquez

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.

1)RENTAL PROPERTY. 100% OWNER. 2) PREMIER KINGDOM ADVISORS, LLC, PASS THROUGH LLC FOR CETERA INVESTMENT AND INSURANCE BUSINESS, OFFER PROPERTY AND CASUALTY INSURANCE THROUGH HOME, AUTO, COMMERCIAL PROPERTY AND COMMERCIAL VEHICLE POLICIES. 3) INSURANCE BENEFITS CONSULTING DBA PURO ASEGURO INC BENEFIT ENROLLVER/COUNSELOR ANSWERING QUESTIONS OF SCHOOL FACULTY MEMBERS ABOUT VISION DENTAL, HEALTH AND LIFE INSURANCE 15/HRS/WK 4) COMMERCIAL AND RETAIL LOAN REFERRALS THROUGH EVERSTREAM CAPITAL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Abraham Eli Marquez'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 29, 2019 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1321 Pecan Ste A, Mcallen, TX 78501Office #2: 1300 N 10th Street Suite 480f, Mcallen, TX 78501Office #3: 901 South 10th Street Bldg 400, Mcallen, TX 78501

RIA

CRD#: 105644

MCALLEN, TX

Current

July 29, 2019 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1321 Pecan Ste A, Mcallen, TX 78501Office #2: 1300 N 10th St Suite 480f, Mcallen, TX 78501Office #3: 901 South 10th Street Bldg 400, Mcallen, TX 78501

CRD#: 15340

Mcallen, TX

Past

October 18, 2016 - July 29, 2019

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Harlingen, TX

Past

October 17, 2016 - July 29, 2019

BBVA SECURITIES INC.

CRD#: 27060

HARLINGEN, TX

Past

January 13, 2016 - October 3, 2016

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

SELMA, TX

Past

January 13, 2016 - October 3, 2016

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

SELMA, TX

Past

September 3, 2014 - January 25, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

September 3, 2014 - January 25, 2016

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

April 25, 2014 - September 17, 2014

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HOUSTON, TX

Past

May 16, 2013 - September 17, 2014

BBVA SECURITIES INC.

CRD#: 27060

HOUSTON, TX

Past

October 30, 2009 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

California
(3/24/2021)

Missouri
(10/14/2025)

Oklahoma
(9/30/2024)

Texas
(7/29/2019)

IAR

Texas
(7/29/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/18/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/17/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/29/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Adam Tabak

LPL FINANCIAL LLC

IAR

EDINBURG, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Abraham E. Marquez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Abraham Eli Marquez's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/18/2014

Series 63

Date: 11/17/2011

SIE

Date: 10/1/2018

Series 7

Date: 5/20/2013

Series 6

Date: 10/29/2009

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors