Daniel C. 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.
Daniel C Quinn, who also goes by Daniel Clay Quinn Jr, Daniel L Quinn, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2017 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
July 25, 2017 - December 23, 2020
FIFTH THIRD SECURITIES, INC.
June 1, 2016 - July 18, 2017
BB&T INVESTMENT SERVICES, INC.
June 1, 2016 - July 18, 2017
BB&T INVESTMENT SERVICES, INC.
May 5, 2014 - May 16, 2016
CETERA INVESTMENT ADVISERS LLC
May 2, 2014 - May 16, 2016
CETERA INVESTMENT SERVICES LLC
July 25, 2013 - April 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 25, 2013 - April 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2013 - July 25, 2013
BB&T INVESTMENT SERVICES, INC.
August 16, 2001 - July 25, 2013
BB&T INVESTMENT SERVICES, INC.
July 3, 2000 - August 14, 2001
SYNOVUS SECURITIES, INC.
August 3, 1998 - April 17, 2000
IFMG SECURITIES, INC.
March 4, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
January 15, 1998 - June 28, 2000
SOUTHTRUST SECURITIES, LLC
September 7, 1995 - January 14, 1998
FAIRCHILD FINANCIAL GROUP, INC.
June 16, 1995 - September 11, 1995
AMERICAN FRONTEER FINANCIAL CORPORATION
July 6, 1994 - June 16, 1995
RICKEL & ASSOCIATES, INC.
September 12, 1991 - July 21, 1994
F.N. WOLF & CO., INC.
May 16, 1988 - January 25, 1991
F.N. WOLF & CO., INC.
September 24, 1987 - May 18, 1988
SHERWOOD CAPITAL, INC.
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
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 7TO
Date: 3/28/2024
General Securities Representative ExaminationCurrent Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
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.
