Marie T. Quinlan
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.
Marie Theresa Quinlan, who also goes by Marie Gantner, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1989. Marie had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2007 - June 19, 2012
CUNA BROKERAGE SERVICES, INC.
January 22, 2007 - June 19, 2012
CUNA BROKERAGE SERVICES, INC.
March 22, 2002 - January 24, 2007
CUSO FINANCIAL SERVICES, L.P.
June 20, 2000 - January 24, 2007
CUSO FINANCIAL SERVICES, L.P.
January 20, 2000 - June 28, 2000
WAMU INVESTMENTS, INC.
March 14, 1997 - January 11, 2000
LPL FINANCIAL LLC
July 28, 1994 - March 20, 1997
CUNA BROKERAGE SERVICES, INC.
April 7, 1993 - July 30, 1994
CETERA WEALTH SERVICES, LLC
October 22, 1992 - December 15, 1992
AEGON USA SECURITIES INC.
April 26, 1989 - November 24, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 26, 1989 - November 24, 1990
SIGNATOR INVESTORS, INC.
February 8, 1989 - April 8, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 8, 1989 - April 8, 1989
PRUCO SECURITIES, LLC.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
