Isaiah Marquez (CRD #7908923) Has an Employment Separation Disclosure on FINRA BrokerCheck

Isaiah Marquez (CRD #7908923) was previously registered with Fidelity Brokerage Services LLC. We reviewed his BrokerCheck report on February 18, 2026. It reflects one termination disclosure. If you invested with Isaiah Marquez and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Employment Separation

Isaiah Marquez’s FINRA BrokerCheck report reflects one employment separation after allegations disclosure. A summary is below:

On December 3, 2025, Fidelity Brokerage Services LLC discharged Isaiah Marquez. The firm reported Allegations that the employee stated in a firm questionnaire that he did not reside with another registered representative when he did.

Rule Summary #1: FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration)

FINRA Rule 1122 prohibits filing incomplete or inaccurate information with FINRA that could mislead. A termination tied to a false statement can raise questions about the accuracy of registration-related disclosures.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires high standards of commercial honor and just and equitable principles of trade. Firms may cite this rule when conduct reflects honesty or integrity concerns.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Isaiah Marquez:

Is not currently registered.

Has passed the Securities Industry Essentials (SIE) exam. Isaiah Marquez has passed Series 7TO. He has also passed Series 63.

Was previously registered with Fidelity Brokerage Services LLC.

Kurta Law Can Help

If you have worked with Isaiah Marquez and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What is Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.