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Type: Dual Registration

Xavier Marquezdelaplata is a financial professional at LPL Financial LLC, a broker-dealer with over 17,700 registered representatives nationwide. Xavier has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Xavier Marquezdelaplata has not answered any questions on Financial Q&A.

Top Guides

Xavier Marquezdelaplata has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
LPL Financial LLC 3 years, 1 month Mar 2011 - Present
Quality Family Homes 5 years, 11 months May 2008 - Present
Chase Investment Services Corp. 2 years, 10 months Jul 2005 - May 2008
Banc One Securities Corporation 9 years, 6 months Jan 1996 - Jul 2005
Bank One, Texas 14 years, 7 months Dec 1990 - Jul 2005
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/02/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

3 Customer Disputes

3 Customer Disputes

1 Financial Disclosure

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Representative Examination Series 7 03/26/1997
Uniform Securities Agent State Law Examination Series 63 02/06/1996
Investment Company Products/Variable Contracts Representative Examination Series 6 02/01/1996

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions