David B. 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.
David Brian Quinn, who also goes by Dave Quinn, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2019 - February 3, 2025
MULTI-BANK SECURITIES, INC.
January 19, 2007 - August 22, 2019
HILLTOP SECURITIES INC.
March 7, 2003 - December 14, 2006
RBC CAPITAL MARKETS, LLC
March 13, 1989 - March 7, 2003
FIRST INSTITUTIONAL SECURITIES, L.L.C.
February 1, 1989 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
February 25, 1985 - February 1, 1989
GLICKENHAUS & CO. - NEW JERSEY
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
Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
