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Xavier Marquezdelaplata

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Information

Firm:
Type: Dual Registration
Description

Xavier Marquezdelaplata is a financial professional at LPL Financial LLC, a broker-dealer with over 17,500 registered representatives nationwide. Xavier has held an industry securities registration for 9 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
LPL Financial LLC 3 years, 7 months Mar 2011 - Present
Quality Family Homes 6 years, 5 months May 2008 - Present
Chase Investment Services Corp. 2 years, 10 months Jul 2005 - May 2008
JPMorgan Securities Inc 9 years, 6 months Jan 1996 - Jul 2005
Bank One, Texas 14 years, 7 months Dec 1990 - Jul 2005
Exams
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 03/26/1997
Uniform Securities Agent State Law ExaminationSeries 63 02/06/1996
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 02/01/1996

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

Individuals
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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

3 Customer Disputes

3 Customer Disputes

1 Financial Disclosure

As of Date
09/10/2014
08/16/2013
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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