Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek Marquis is a financial advisor who has been in the industry since 1990. He is currently registered with Raymond James Financial Services Advisors, Inc. and has previously worked for several other firms including Raymond James & Associates, Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Paine Webber Incorporated, and Dean Witter Reynolds Inc. Derek holds several professional designations, including Certified Financial Planner. Derek specializes in working with individuals, corporations, insurance companies, pension and profit-sharing plans, charitable organizations, and banking or thrift institutions. He offers a variety of financial planning and investment advisory services including portfolio management, financial planning, pension consulting, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
CA
08/23/2021 - Present
Raymond James Financial Services Advisors, Inc. (Newbury Park CA)
CA
03/26/2009 - 08/23/2021
RAYMOND JAMES & ASSOCIATES, INC. (WESTLAKE VILLAGE CA)
CA
07/01/2003 - 03/27/2009
WACHOVIA SECURITIES, LLC (WESTLAKE VILLAGE CA)
NY
05/06/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
01/04/1993 - 05/15/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/06/1990 - 01/14/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 04/10/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/07/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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