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Karina Marquez

Principal Securities, Inc.

Des Moines, IA

Bakersfield, CA

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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-04-17
  • CA RA
    APPROVED
    Since 2023-04-17

Branch Locations

711 High St, Des Moines, IA 50392 • United States

Bakersfield, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank Bakersfield CA 01/2010 05/2022
J.P. Morgan Securities Llc Bakersfield CA 10/2012 05/2022
Gwfs Equities, Inc Greenwood Village CO 05/2022 07/2022
Advised Assets Group, Llc Greenwood Village CO 05/2022 02/2023
Principal Life Insurance Company Bakersfield CA 02/2023 Present
Principal Securities Inc Bakersfield CA 03/2023 Present
  • 01/2010 → 05/2022
    Jpmorgan Chase Bank
    Bakersfield, CA
  • 10/2012 → 05/2022
    J.P. Morgan Securities Llc
    Bakersfield, CA
  • 05/2022 → 07/2022
    Gwfs Equities, Inc
    Greenwood Village, CO
  • 05/2022 → 02/2023
    Advised Assets Group, Llc
    Greenwood Village, CO
  • 02/2023 → Present
    Principal Life Insurance Company
    Bakersfield, CA
  • 03/2023 → Present
    Principal Securities Inc
    Bakersfield, CA
Previous Registrations
  • 2022-05-10 → 2023-02-15
    Empower Advisory Group, Llc
    Bakersfield, CA
    Greenwood Village, CO
  • 2012-10-01 → 2022-05-05
    J.P. Morgan Securities Llc
    Bakersfield, CA
  • 2010-01-26 → 2012-10-01
    Chase Investment Services Corp.
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
  • 2006-05-30 → 2009-06-12
    Cuso Financial Services, L.P.
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Delano, CA
    Bakersfield, CA
    Bakersfield, CA
    Ridgecrest, CA
    Tehachapi, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-22
S63 Uniform Securities Agent State Law Examination 2003-07-21
  • S66 Uniform Combined State Law Examination
    2006-05-22
  • S63 Uniform Securities Agent State Law Examination
    2003-07-21

View on SEC IAPD

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OSAIC WEALTH, INC.
EDWARD JONES
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AVANTAX PLANNING PARTNERS, INC.
PROSPECTIVE VALUE PARTNERS LLC

Other Investors

Kathryn Leeper Hooper
ROGER ROBERT RUDEN
Christian Harrison Rogers
ARRON STEVEN CRAMER
RICHARD STEVENS YODER
AARON PLASKAS
CHRISTOPHER E JANDA
Penny Sue Hein

Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

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