Derek Robert Marquis

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2009 → 08/2021
  Raymond James & Associates, Inc.
  Westlake Village, CA
• 08/2021 → Present
  Raymond James Financial Services
  Newbury Park, CA
• 08/2021 → Present
  Raymond James Financial Services Advisors
  Newbury Park, CA

Previous Registrations

• 2009-03-27 → 2021-08-23
  Raymond James & Associates, Inc.
  Westlake Village, CA
• 2003-07-01 → 2009-03-27
  Wells Fargo Clearing Services, Llc
  Westlake Village, CA
  Westlake Village, CA
• 1999-04-26 → 2003-07-01
  Prudential Equity Group, Llc
  Westlake Village, CA

Other Businesses

(1) Name of Business: Address: 633 Camino Del Sol, Newbury Park, CA, 91320, United States Activity Type: Other Position/Title: Notary (Paid) Investment Related: No Start Date: 05/06/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: General Notary Duties. (2) Name of Business: Legal Docs For You Address: 633 Camino Del Sol, Newbury park, CA, 91320, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 08/01/2025 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Certificate in Paralegal - Legal Document Assistant \n (3) Name of Business: Marquis Consulting, Inc. Address: 3205 Old Conejo Rd 2nd Fl Suite C, Newbury Park, CA, 91320-2179, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 07/01/2021 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Support Company for my RJFS business. Deposit paycheck, pay my monthly bills for my office. (4) Name of Business: Marquis Wealth Management Group Address: 3205 Old Conejo Rd Fl 2, Newbury Park, CA, 91320-2179, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 08/23/2021 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: This my group name for my RJFS practice in branch ETN.\n (5) Name of Business: The Jewel Levine Foundation Address: 633 Camino Del Sol, Newbury Park, CA, 91320, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Founder Investment Related: Yes Start Date: 09/22/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Book Keeping, marketing, Organizing, annual reportsCheck writing, TWO SIGNATURES REQUIRED.My Title in the Bylaws is: Director and Chief Financial Officer.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-04-10
• S63 Uniform Securities Agent State Law Examination
  1990-10-10

Designations

• Certified Financial Planner