Thomas R. 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.
Thomas R Quinn, who also goes by Thomas Robert Quinn Jr, Thomas Robert Quinn, Thomas Quinn Jr, Thomas Quinn, Tom Quinn Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 55 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
March 1, 2018 - December 3, 2025
LPL FINANCIAL LLC
May 3, 2017 - October 2, 2017
PFG ADVISORS
April 4, 2017 - December 3, 2025
LPL FINANCIAL LLC
January 25, 2017 - March 29, 2017
SCOTTRADE INVESTMENT MANAGEMENT
June 14, 2016 - March 29, 2017
SCOTTRADE, INC.
February 2, 2015 - May 6, 2016
SORRENTO PACIFIC FINANCIAL, LLC
February 2, 2015 - May 6, 2016
SORRENTO PACIFIC FINANCIAL, LLC
August 19, 2013 - June 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 16, 2013 - June 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2012 - June 28, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
April 5, 2012 - June 28, 2013
ALLSTATE FINANCIAL SERVICES, LLC
October 7, 2009 - October 11, 2010
MORGAN STANLEY
September 1, 2009 - October 11, 2010
MORGAN STANLEY
November 19, 2007 - April 16, 2009
NOVA CAPITAL MARKETS, LLC
October 26, 2006 - January 31, 2007
TAFFERER TRADING, LLC
November 6, 2001 - November 24, 2004
MILLENNIUM BROKERAGE, L.L.C.
July 6, 1992 - August 24, 2001
HERZOG, HEINE, GEDULD, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 55
Date: 3/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
