Timothy W. Quinn
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.
Timothy W Quinn, who also goes by Timothy Whittaker Quinn, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1983. Timothy had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2016 - July 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 2016 - July 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2014 - December 28, 2015
G.DISTRIBUTORS, LLC
July 10, 2009 - December 28, 2015
G.RESEARCH, LLC
March 28, 2007 - April 7, 2008
BLACKROCK INVESTMENTS, LLC
April 30, 2001 - April 27, 2005
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
August 5, 1996 - October 6, 1999
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
July 24, 1995 - July 17, 1996
TUCKER ANTHONY INCORPORATED
July 12, 1991 - July 13, 1995
CHARLES SCHWAB & CO., INC.
June 18, 1986 - June 13, 1990
TUCKER ANTHONY INCORPORATED
March 4, 1986 - June 20, 1986
H. G. WELLINGTON & CO., INC.
March 29, 1985 - January 9, 1987
STILLMAN, MAYNARD & CO.
June 18, 1984 - March 26, 1985
ADVEST, INC.
April 21, 1983 - June 15, 1984
BURGESS & LEITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 4/2/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
