Mark D. Quinn

CETERA FINANCIAL SPECIALISTS LLC

SAN DIEGO, CA 92101

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CRD#: 1057361

Professional summary

Mark David Quinn, who also goes by Mark Quinn, is a registered financial professional currently at CETERA FINANCIAL SPECIALISTS LLC located in San Diego, California and CETERA INVESTMENT SERVICES LLC located in San Diego, California.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1982. Mark has worked at 14 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark David Quinn's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 3, 2015 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 10358

SAN DIEGO, CA

Current

March 11, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 15340

SAN DIEGO, CA

Current

March 11, 2015 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 13572

SAN DIEGO, CA

Current

March 11, 2015 - Present

CETERA ADVISORS LLC

Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101

CRD#: 10299

SAN DIEGO, CA

Past

November 29, 2016 - January 9, 2017

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

San Diego, CA

Past

March 11, 2015 - December 19, 2016

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

March 11, 2015 - December 31, 2016

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

March 11, 2015 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

San Diego, CA

Past

February 23, 2010 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

November 24, 1989 - June 19, 1991

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

August 16, 1989 - March 8, 1990

ABI SECURITIES, INC.

CRD#: 24397

NEW YORK, NY

Past

July 10, 1989 - July 1, 2008

OSAIC WEALTH, INC.

CRD#: 23131

NEW YORK, NY

Past

January 3, 1989 - April 17, 1989

HANIFEN, IMHOFF SECURITIES CORP.

CRD#: 10620

Past

September 17, 1984 - April 27, 1990

INTEGRATED RESOURCES INVESTMENT CENTERS, INC.

CRD#: 14338

NEW YORK, NY

Past

July 22, 1982 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

State Registrations and Notice Filings

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

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

California
(9/8/2022)

Exams

State Security Law Exam

Series 63

Date: 2/8/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/21/1982

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/17/1982

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/1/1982

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA ADVISORS LLC

CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111

Mailing Address

400 First Street South Suite 300, Saint Cloud, MN 56301

Phone number

(800) 929-3485

Established

Delaware since 08/31/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,138

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
CETERA FINANCIAL GROUP, INC.	SOLE MEMBER
ARNOLD, SUMMER SELTZER	VICE PRESIDENT	2954103
BUCHHEISTER, JEFFREY ROBERT	CHIEF FINANCIAL OFFICER	4709900
BUDEVICH, SERGE	VICE PRESIDENT AND TAX OFFICER	7996345
DEL VALLE, ELISA ANNE-MARIE	VICE PRESIDENT	4807911
DOWELL, RODNEY CAMMERON	PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT	7376607
FRIES, MATTHEW NEIL KALANI	VICE PRESIDENT	2723824
GOK, LISA ANNE	SECRETARY	5059738
HALLORAN, THOMAS WILLIAM	CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER	1921834
HOLWEGER, KIMBERLEY	CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER	1572778
LEE, WINNIE AI-LING	ASSISTANT SECRETARY	7381661
MACKAY, TODD CHRISTOPHER	MANAGER	2799860
MCCALLOP, PATRICIA RUTHERFORD	BROKER DEALER CHIEF COMPLIANCE OFFICER	5059176
MERRILL, GARRETT JAMES	VICE PRESIDENT	4306692
MIZUGUCHI, MAURA	CHIEF ACCOUNTING OFFICER AND TREASURER	5769181
NEARY, JOSEPH DANIEL	MANAGER AND VICE PRESIDENT	2993505
RAMOS, RAMON	MONEY LAUNDERING REPORTING OFFICER	2160203
SMILEY, STANLEY ROBERT	VICE PRESIDENT	3004604
STINSON, TIMOTHY EARL MCCOY	VICE PRESIDENT	2272183
VAN HAVERMAAT, DAVID JAMES	ASSISTANT SECRETARY	7042846
VOGEL, RICHARD CHARLES	VICE PRESIDENT	4024999

Regulatory assets under management

Total Number of Accounts	81,652
AUM (Assets Under Management)	$ 21,989,347,265

Disclosures

Regulatory Event	14
Civil Event	1
Arbitration	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2023	Cover Page	Report

Red Flags

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Advisor Monitoring

Firm Stability Insights

Mark D. Quinn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark David Quinn's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

VSR FINANCIAL SERVICES, INC.

INVESTORS CAPITAL CORP.

LEGEND EQUITIES CORPORATION

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

ABI SECURITIES, INC.

OSAIC WEALTH, INC.

HANIFEN, IMHOFF SECURITIES CORP.

INTEGRATED RESOURCES INVESTMENT CENTERS, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2010

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/17/1982

Series 53

Date: 12/21/1982

Series 4

Date: 11/17/1982

Series 24

Date: 10/1/1982

FINRA

Current Firm

CETERA ADVISORS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CETERA ADVISORS LLC

TRUST BUT VERIFY

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