Mary T. 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.
Mary Teresa Quinn, who also goes by Teresa Quinn, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1983. Mary had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 22, Series 6, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 1994 - March 27, 2015
LEE FINANCIAL COMPANY, LLC
December 9, 1985 - March 2, 1988
SUNWEALTH SECURITIES CORPORATION
January 8, 1985 - June 20, 1991
GENERAL AMERICAN LIFE INSURANCE COMPANY
August 1, 1984 - November 26, 1986
BRAZOS CAPITAL CO.
October 3, 1983 - June 26, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LEE FINANCIAL COMPANY, LLC
CRD#: 105910 / SEC#: 801-10722
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
LEE FINANCIAL COMPANY, LLC
CRD#: 105910 / SEC#: 801-10722
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,677 |
| AUM (Assets Under Management) | $ 1,496,621,112 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/23/2023 | ||
| 01/23/2023 |
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.
