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David P Marquis

LPl Financial LLC

Fort Mill, SC

North Tustin, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-11-14
CA RA APPROVED 2025-05-19
  • TX RA
    APPROVED
    Since 2025-11-14
  • CA RA
    APPROVED
    Since 2025-05-19

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • United States

North Tustin, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 08/2008 05/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 06/2019 05/2025
Lpl Financial Llc San Diego CA 05/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-03
S63 Uniform Securities Agent State Law Examination 2008-07-26
  • S65 Uniform Investment Adviser Law Examination
    2015-03-03
  • S63 Uniform Securities Agent State Law Examination
    2008-07-26
Other Names
  • David Marquis
  • David P Marquis

View on SEC IAPD

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