David J. 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.
David John Quinlan, who also goes by David J Quinlan, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2004 - September 9, 2019
EZE CASTLE TRANSACTION SERVICES LLC
March 27, 2003 - July 6, 2004
FIRST DOMINION CAPITAL CORP.
February 27, 2001 - July 6, 2001
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
June 24, 1991 - March 30, 1999
BRIDGE TRADING COMPANY
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 8
Date: 12/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EZE CASTLE TRANSACTION SERVICES LLC
CRD#: 132246 / SEC#: , 8-66577
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
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.
