William F. Quinn

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CRD#: 1001015

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William F. Quinn, who also goes by William Francis Quinn, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1981. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William Francis Quinn

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

QUINN HOLDINGS, LLC; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; DBA NAME ONLY; FINANCIAL ADVISOR; 07/01/2016; APPX 160 HR/MONTH; APPX 160 HRS/MONTH DURING TRADING; FINANCIAL ADVISOR

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 8, 2023 - August 27, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DELRAY BEACH, FL

Past

May 19, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

DELRAY BEACH, FL

Past

August 22, 2019 - August 27, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

DELRAY BEACH, FL

Past

May 21, 2019 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

DELRAY BEACH, FL

Past

March 15, 2019 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

DELRAY BEACH, FL

Past

June 30, 2016 - March 19, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

DELRAY BEACH, FL

Past

June 30, 2016 - March 19, 2019

LPL FINANCIAL LLC

CRD#: 6413

DELRAY BEACH, FL

Past

December 2, 2014 - July 11, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PHILADELPHIA, PA

Past

March 31, 2009 - July 11, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PHILADELPHIA, PA

Past

October 1, 1999 - April 2, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PHILADELPHIA, PA

Past

July 1, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

April 23, 1985 - July 9, 1998

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

October 14, 1981 - November 6, 1981

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/2/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/29/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 6/6/1988

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/7/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/6/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/1/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

William F. Quinn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

JANNEY MONTGOMERY SCOTT LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/2014

Series 63

Date: 4/29/1985

SIE

Date: 10/1/2018

Series 15

Date: 6/6/1988

Series 7

Date: 4/20/1985

Series 6

Date: 8/7/1981

Series 10

Date: 9/6/2001

Series 9

Date: 8/1/2001

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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