AQ
Alexander N. Quint
QUINT CAPITAL
New York, NY 10169
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CRD#: 1012135
AQ
Professional summary
Alexander Norman Quint is a registered financial advisor currently at QUINT CAPITAL CORPORATION located in New York, New York.
Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Alexander has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. Quint Capital/NYS Insurance Agency, 230 Park Avenue, Suite 908, New York, NY 10169; Non-investment related. NYS registered insurance agency offering non-securities related insurance products, Owner. Primarily offering employment benefits to employers/employees. Commissions earned. Start Date: 09/2014 to present; Quint Capital Insurance Agency is a subsidiary of Quint Capital Corporation. Approximately 20 Hours per month with about about 10 hours per month during securities trading hours. 2. Fifth Avenue Loft Corporation, 140 Fifth Avenue, New York, NY 10011; Non-investment related. Director on the Board of the Cooperative Apartment at this location. No compensation. Start Date: 06/1994 to current; Approximately 3 hours per month with 0 hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Alexander Norman Quint's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alexander Norman Quint's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 27, 2015 - Present
QUINT CAPITAL CORPORATION
Office #1: 230 Park Ave Ste 460, New York, NY 10169RIA
BD
CRD#: 26586
New York, NY
Current
April 7, 2014 - Present
QUINT CAPITAL CORPORATION
Office #1: 230 Park Ave Ste 460, New York, NY 10169RIA
BD
CRD#: 26586
New York, NY
Past
July 15, 2022 - December 31, 2022
SOLDIERS FIRST CAPITAL
RIA
CRD#: 321004
NEW YORK, NY
Past
April 11, 2013 - September 18, 2013
AMERICAN NETWORK SECURITIES CORP.
BD
CRD#: 13750
SUN CITY, AZ
Past
November 16, 2000 - February 21, 2012
PETERSEN INVESTMENTS, INC.
BD
CRD#: 38537
NEW YORK, NY
Past
October 31, 2000 - November 14, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
BD
CRD#: 40799
NEW YORK, NY
Past
June 27, 1997 - June 20, 2000
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
August 20, 1992 - July 2, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 1, 1983 - August 21, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 26, 1981 - August 6, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
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".
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/5/2017)
RR
California(6/20/2014)
RR
Colorado(7/21/2017)
RR
Connecticut(5/21/2015)
IAR
Connecticut(8/10/2016)
RR
District of Columbia(3/16/2022)
IAR
Florida(4/27/2015)
RR
Florida(4/28/2015)
RR
Georgia(2/26/2020)
RR
Idaho(5/31/2017)
RR
Illinois(11/23/2021)
RR
Indiana(4/21/2017)
RR
Louisiana(7/7/2014)
RR
Maryland(11/17/2017)
RR
Massachusetts(5/23/2017)
RR
Michigan(9/27/2021)
RR
Mississippi(10/6/2016)
RR
Montana(5/1/2017)
RR
New Hampshire(8/16/2017)
RR
New Jersey(8/15/2014)
IAR
New Jersey(8/30/2022)
RR
New York(7/3/2014)
IAR
New York(3/17/2022)
RR
North Carolina(7/24/2017)
RR
Ohio(6/17/2016)
RR
Oregon(1/19/2022)
RR
Pennsylvania(3/22/2016)
RR
Rhode Island(4/27/2017)
RR
Texas(1/20/2015)
RR
Vermont(2/14/2022)
RR
Washington(10/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave - 361w, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-5090
Established
Florida since 05/28/1989
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16
SEC notice filing (7 States and Territories)
FINRA licenses (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73 |
| AUM (Assets Under Management) | $ 147,573,714 |
Disclosures
| Regulatory Event | 1 |
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.
