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Raymond Joseph Marquez

Fidelity Brokerage Services LLC

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About Raymond Joseph Marquez

Raymond Marquez has been in the financial services industry since 2006. Raymond is currently registered with Fidelity Brokerage Services LLC and is licensed in Massachusetts, North Carolina, Texas, and Utah. Raymond has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Charles Schwab & Co., Inc., Navy Federal Brokerage Services, LLC, and Ameriprise Financial Services, Inc. Raymond holds the Series 7, 9, 10, 66, and SIE licenses.

Firm Information

Raymond Marquez is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Raymond Marquez’s Registration & Firm History

NC

05/31/2022 - Present

Fidelity Brokerage Services LLC (DURHAM NC)

NC

04/26/2019 - 05/22/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RALEIGH NC)

IN

12/18/2015 - 04/15/2019

CHARLES SCHWAB & CO., INC. (Indianapolis IN)

DC

12/01/2009 - 08/11/2014

NAVY FEDERAL BROKERAGE SERVICES, LLC (WASHINGTON DC)

DC

09/06/2006 - 11/16/2009

FIDELITY BROKERAGE SERVICES LLC (WASHINGTON DC)

GA

03/08/2005 - 06/21/2006

AMERIPRISE FINANCIAL SERVICES, INC. (ATLANTA GA)

MN

03/08/2005 - 06/21/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 02/08/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/21/2019

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/24/2017

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/07/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There is public disclosure for Raymond Joseph Marquez. Review regulatory record here.
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