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Xavier Marquezdelaplata

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Type: SEC and FINRA Registered

Xavier Marquezdelaplata is a financial professional at LPL Financial LLC, a broker-dealer with over 18,100 registered representatives nationwide. Xavier has held an industry securities registration for 19 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
LPL Financial LLC 4 years, 9 months Mar 2011 - Present
Quality Family Homes 7 years, 6 months May 2008 - Present
Chase Investment Services Corp. 2 years, 10 months Jul 2005 - May 2008
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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

Xavier Marquezdelaplata has not contributed any Financial Articles.
*Answers and articles 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.

Licenses and Conduct

License Status

3 Customer Disputes

2 Financial Disclosures

3 Customer Disputes

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.

Firm Compensation Arrangements

Types of Compensation Arrangements

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