DM
DM
David Marquis
17 Years of Experience
North Tustin, CA
1 DisclosureBroker
David Marquis is a registered investment advisor at LPL Financial LLC, based in North Tustin, CA, with 17 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
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Location
North Tustin, CA
Get directionsHistory
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
March 2020Denied
Employment History
Current Registrations
LPL Financial LLC
May 2025 - Present · 1 yr
LPL Financial LLC
May 2025 - Present · 1 yr
LPL Financial LLCBroker
May 2025 - Present · 1 yr
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2019 - May 2025 · 5 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2019 - May 2025 · 5 yrs 9 mos
AXA Advisors, LLC
March 2015 - June 2019 · 4 yrs 3 mos
AXA Advisors, LLCBroker
July 2008 - June 2019 · 10 yrs 11 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.