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Detailed Report
MARC WALTER BAQUERIZO
CRD#: 1614507
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 8398 SIX FORKS ROAD
SUITE 204
RALEIGH, NC 27615
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 8398 SIX FORKS ROAD
SUITE 204
RALEIGH, NC 27615
Registration History
199019952000200520102015202020252 FIRMS1987 - 1988 (1 year)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - Present (16 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2005 - Present (19 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2001 - 2005 (4 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1999 - 2001 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1996 - 1999 (3 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1989 - 1996 (6 years)BADVEST, INC. (CRD# 10)1989 - 1989 (<1 year)BNEWHARD, COOK & CO. INCORPORATED (CRD# 619)1988 - 1989 (<1 year)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2006 - 2009 (3 years)
Disclosure(s)
View By:
7/30/1996
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 6/29/2005
B
Nevada 6/3/2005
B
California 6/3/2005
B
North Carolina 1/3/2012
IA
California 1/2/2009
IA
North Carolina 10/29/2019
B
Idaho 3/4/2022
B
Ohio 6/3/2005
B
Illinois 11/20/2017
B
Oregon 1/4/2008
B
Indiana 6/3/2005
B
Tennessee 9/9/2019
B
Kansas 4/8/2016
B
Virginia 7/29/2021
B
Massachusetts 8/19/2015
B
West Virginia 6/3/2005

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
8398 SIX FORKS ROAD SUITE 204, RALEIGH, NC 27615
Raleigh, NC
Registered with this firm since 1/2/2009
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
8398 SIX FORKS ROAD SUITE 204, RALEIGH, NC 27615
Raleigh, NC
Registered with this firm since 6/3/2005
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/10/2006 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) IRVINE, CA
B
 02/20/2001 - 06/07/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 09/16/1999 - 02/22/2001 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 04/16/1996 - 09/14/1999 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 09/29/1989 - 04/17/1996 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 09/30/1989 - 10/17/1989 ADVEST, INC. (CRD#:10) HARTFORD, CT
B
 10/31/1988 - 09/30/1989 NEWHARD, COOK & CO. INCORPORATED (CRD#:619) ST. LOUIS, MO
B
 09/22/1987 - 11/08/1988 CROWELL, WEEDON & CO. (CRD#:193)
B
 09/22/1987 - 02/04/1988 VESTCORP SECURITIES, INC. (CRD#:14746)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.