Joseph D. Quinn

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CRD#: 2024535

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.

Joseph Dennis Quinn III, who also goes by Denny Quinn, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1990. Joseph had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Denny 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. 04/26/2017 - MARSHALL & STERLING WEALTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 5/1/2017 - 120 hr/mth 2. 04/26/2017 - MARSHALL & STERLING INC - Non-Variable Insurance - sells: TERM, GUARANTEED UNIVERSAL LIFE, LTC, WHOLE LIFE - start: 5/1/2017 - 16 hr/mth. 3. 5/2/2017 - MARSHALL & STERLING WEALTH ADVISORS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 5/1/2017 - 120 Hours Per Month/6 Hours During Securities Trading - Time Spent 95% - I provide investment advisory services through MARSHALL & STERLING WEALTH ADVISORS, an independent investment advisor firm. I started this business activity in 04/2017. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 8/27/2020 - Ackerman Quinn Financial Services - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 05/01/2016 - 0 Hours Per Month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 10, 2017 - November 5, 2024

MARSHALL & STERLING WEALTH ADVISORS, INC.

RIA

CRD#: 164345

POUGHKEEPSIE, NY

Past

April 28, 2017 - November 18, 2024

LPL FINANCIAL LLC

CRD#: 6413

POUGHKEEPSIE, NY

Past

March 6, 2015 - May 5, 2017

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

POUGHKEEPSIE, NY

Past

November 22, 2013 - May 5, 2017

NATIONAL SECURITIES CORPORATION

CRD#: 7569

POUGHKEEPSIE, NY

Past

December 9, 1992 - November 22, 2013

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

September 17, 1991 - January 22, 1993

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

January 15, 1990 - September 17, 1991

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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".

MARSHALL & STERLING WEALTH ADVISORS, INC.

CRD#: 164345 / SEC#: 801-78688

RIA

Registered Investment Advisory firm - (11/1/2013 Approved)

New York

Registered Investment Advisory firm - (11/12/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/12/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/3/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/11/1990

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: 1/11/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/11/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MARSHALL & STERLING WEALTH ADVISORS, INC.

CRD#: 164345 / SEC#: 801-78688

RIA

Registered Investment Advisory firm - (11/1/2013 Approved)

New York

Registered Investment Advisory firm - (11/12/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/12/2013 Terminated)

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Contact information

Main Address

278 Mill Street Suite 301, Poughkeepsie, NY 12601

Mailing Address

Phone number

(845) 554-1046

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (4/2/2025)

Regulatory assets under management

Total Number of Accounts	1,598
AUM (Assets Under Management)	$ 995,832,115

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

Joseph D. Quinn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

PRIME CAPITAL SERVICES, INC.

GUARDIAN INVESTOR SERVICES LLC

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

MARSHALL & STERLING WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2014

Series 63

Date: 1/11/1990

SIE

Date: 10/1/2018

Series 7

Date: 1/11/2005

Series 6

Date: 1/11/1990

Current Firm

MARSHALL & STERLING WEALTH ADVISORS, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARSHALL & STERLING WEALTH ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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