MM
Mark C. Minichiello
QCA CAPITAL MANAGEMENT
Los Angeles, CA 90025
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CRD#: 1863304
MM
Professional summary
Mark Charles Minichiello is a registered financial advisor currently at QCA CAPITAL MANAGEMENT INC located in Los Angeles, California and QUINCY CASS ASSOCIATES, INCORPORATED located in Los Angeles, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 7, Series 3, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
* Name of Business
Top Dog Films, Inc.
* Whether the business is investment-related
Non-investment related
* Address of the other business
Culver City, CA
* Nature of the other business
Entertainment Company involved in the production of film, television & publishing.
* Your position, title or relationship with the other business
Director and Chief Financial Officer
* Start date of your relationship
10-20-2005
* Approximate number of hours/month you devote to the other business
I contribute a couple hours each month in the evenings or weekends.
* Approximate number of hours you devote to the other business during securities trading hours
I do not contribute during security trading hours.
* Briefly describe your duties relating to the other business.
I contribute as an officer in business development and content and as the CFO of the firm.
* Name of Business
South Bay Runners Club
* Whether the business is investment-related
Non-investment related
* Address of the other business
Torrance, CA
* Nature of the other business
Running Club
* Your position, title or relationship with the other business
Board Member and training coach.
* Start date of your relationship
06-01-2015
* Approximate number of hours/month you devote to the other business
Nights and weekends.
* Approximate number of hours you devote to the other business during securities trading hours
I do not contribute during security trading hours.
* Briefly describe your duties relating to the other business.
I provide coaching and training services for runners.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Charles Minichiello's 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®
NoneExperience
Current
December 9, 2009 - Present
QCA CAPITAL MANAGEMENT INC
Office #1: 11111 Santa Monica Blvd Suite 1650, Los Angeles, CA 90025RIA
CRD#: 112104
Los Angeles, CA
Current
September 21, 2005 - Present
QUINCY CASS ASSOCIATES, INCORPORATED
Office #1: 11111 Santa Monica Blvd., Suite 1650, Los Angeles, CA 90025BD
CRD#: 686
Los Angeles, CA
Past
August 16, 2012 - August 28, 2020
QUINCY CASS ASSOCIATES, INCORPORATED
RIA
CRD#: 686
LOS ANGELES, CA
Past
October 19, 2004 - December 7, 2009
OPPORTUNITY RESEARCH GROUP, LLC
RIA
CRD#: 132402
LOS ANGELES, CA
Past
January 2, 2000 - September 22, 2003
INSIGHT SECURITIES, INC.
BD
CRD#: 5611
HIGHLAND PARK, IL
Past
June 5, 1997 - August 16, 1999
HIGH YIELD ANALYTICS, INC.
BD
CRD#: 41940
CHICAGO, IL
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".
QC
QCA CAPITAL MANAGEMENT INC
QCA CAPITAL MANAGEMENT INC
CRD#: 112104 / SEC#: 801-122806
RIA
Registered Investment Advisory firm - (12/13/2021 Approved)California
Registered Investment Advisory firm - (1/14/2022 Terminated)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.RR
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
RR
Arizona(5/17/2013)
RR
California(9/21/2005)
IAR
California(12/9/2009)
RR
Colorado(5/6/2013)
RR
Florida(2/14/2012)
RR
Maryland(2/10/2012)
RR
Massachusetts(1/21/2021)
RR
Nevada(1/12/2015)
RR
New York(11/21/2011)
RR
Texas(10/13/2023)
RR
Virginia(4/3/2012)
RR
Washington(2/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/18/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QC
QCA CAPITAL MANAGEMENT INC
QCA CAPITAL MANAGEMENT INC
CRD#: 112104 / SEC#: 801-122806
RIA
Registered Investment Advisory firm - (12/13/2021 Approved)California
Registered Investment Advisory firm - (1/14/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11111 Santa Monica Blvd Suite 1650, Los Angeles, CA 90025
Mailing Address
Phone number
(310) 473-4411
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 112 |
| AUM (Assets Under Management) | $ 183,759,020 |
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.
