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Michelle Marquez

Raymond James & Associates, INC.
28 Years of Experience
Pasadena, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Michelle Marquez is a registered investment advisor at Raymond James & Associates, INC., based in Pasadena, CA, with 28 years of industry experience. Michelle is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

301 North Lake Avenue, Suite 1150, Pasadena, CA, 91101

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2003
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Michelle owns two rental properties since 2015 and 2021, respectively. She spends minimal time collecting rent and managing the properties.

Employment History
Current Registrations
Raymond James & Associates, INC.
June 2019 - Present · 7 yrs 4 mos
Raymond James & Associates, INC.Broker
May 2019 - Present · 7 yrs 5 mos
Previous Registrations
Cantella & CO., INC.Broker
June 2018 - June 2019 · 1 yr
Cantella & CO., INC.
June 2018 - June 2019 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - July 2018 · 8 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - July 2018 · 8 yrs 9 mos
Banc of America Investment Services, INC.
March 2002 - October 2009 · 7 yrs 7 mos
Banc of America Investment Services, INC.Broker
January 2002 - October 2009 · 7 yrs 9 mos
Linsco/private Ledger CORP.Broker
May 2000 - January 2002 · 1 yr 8 mos
Bisys Brokerage Services, INC.Broker
September 1998 - May 2000 · 1 yr 8 mos
Fn Investment CenterBroker
November 1997 - September 1998 · 10 mos
State Registrations12 states
AZCAFLHIMANVNYOKORTXUTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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