Peter J. Quinn

RIVERFRONT INVESTMENT GROUP

RICHMOND, VA 23219

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CRD#: 1217067

Professional summary

Peter John Quinn JR, who also goes by Pete Quinn, Peter John Quinn, is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Richmond, Virginia and ALPS DISTRIBUTORS, INC. located in Richmond, Virginia.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Peter has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pete Quinn | Peter John 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.

1. RIVERFRONT INVESTMENT GROUP, 1214 E. CARY ST., RICHMOND, VA 23219,INVESTMENT RELATED RIA, Chairman and CEO, 160 HRS/MON, 130 HR/MON DURING TRADING HOURS. START DATE 12/2007 2. ALPS DISTRIBUTORS, 1290 BROADWAY, SUITE 1000, DENVER, CO 80203. BUSINESS IS INVESTMENT RELATED - BROKER DEALER, REGISTERED REPRESENTATIVE MARKETING/SALES FOR THE RIVERFRONT FUNDS DISTRIBUTED BY ALPS. 10 HRS/MON 10 HRS/MON DURING TRADING HOURS. START DATE: 03/2011. 3. VIRGINIA INSTITUTE OF MARINE SCIENCE FOUNDATION; NOT INVESTMENT-RELATED; 1375 GREATE RD GLOUCESTER POINT, VA 23062; MARINE BIOLOGY EDUCATION; FOUNDATION BOARD MEMBER; 10/2022; 2 HRS/MON; 2 HRS/MON DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter John Quinn JR'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 31, 2008 - Present

RIVERFRONT INVESTMENT GROUP, LLC

Office #1: 1214 E. Cary St., Richmond, VA 23219

RIA

CRD#: 146221

RICHMOND, VA

Current

March 29, 2011 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1214 E. Cary Street, Richmond, VA 23219

CRD#: 16853

Richmond, VA

Past

October 27, 2008 - December 31, 2010

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

November 8, 2006 - September 10, 2007

DAVENPORT & COMPANY LLC

RIA

CRD#: 1588

RICHMOND, VA

Past

January 4, 2006 - September 10, 2007

DAVENPORT & COMPANY LLC

CRD#: 1588

RICHMOND, VA

Past

April 27, 2005 - November 16, 2005

ANDERSON & STRUDWICK, INCORPORATED

CRD#: 48

RICHMOND, VA

Past

April 15, 2005 - April 29, 2005

CARY STREET PARTNERS

CRD#: 128089

RICHMOND, VA

Past

October 1, 1999 - May 28, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 30, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

February 2, 1998 - June 30, 1999

MENTOR SERVICES COMPANY, LLC

CRD#: 36486

RICHMOND, VA

Past

May 19, 1992 - February 2, 1998

HEARTLAND INVESTOR SERVICES, LLC

CRD#: 29693

BOSTON, MA

Past

October 14, 1985 - May 24, 1993

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

September 17, 1984 - October 21, 1985

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

January 26, 1984 - September 4, 1984

GIT INVESTMENT SERVICES, INC.

CRD#: 13818

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".

RIVERFRONT INVESTMENT GROUP, LLC

CRD#: 146221 / SEC#: 801-68810

RIA

Registered Investment Advisory firm - (2/14/2008 Approved)

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.

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

IAR

Virginia
(3/31/2008)

Virginia
(3/29/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/20/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/11/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/1990

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RIVERFRONT INVESTMENT GROUP, LLC

CRD#: 146221 / SEC#: 801-68810

RIA

Registered Investment Advisory firm - (2/14/2008 Approved)

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Contact information

Main Address

1214 East Cary Street, Richmond, VA 23219

Mailing Address

Phone number

(804) 549-4800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIG ADV PART 2 BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	977
AUM (Assets Under Management)	$ 1,183,036,522

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Peter J. Quinn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter John Quinn JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

ROBERT W. BAIRD & CO. INCORPORATED

DAVENPORT & COMPANY LLC

DAVENPORT & COMPANY LLC

ANDERSON & STRUDWICK, INCORPORATED

CARY STREET PARTNERS

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

MENTOR SERVICES COMPANY, LLC

HEARTLAND INVESTOR SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

GIT INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

RIVERFRONT INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/20/2006

Series 65

Date: 6/11/1992

Series 63

Date: 10/12/1982

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1984

Series 24

Date: 5/15/1990

FINRA

Current Firm

RIVERFRONT INVESTMENT GROUP, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERFRONT INVESTMENT GROUP, LLC

TRUST BUT VERIFY

Contact information

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