Thomas A. 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 Arthur Quinn, who also goes by Thomas A Quinn, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
June 10, 2015 - September 20, 2016
SATURNA BROKERAGE SERVICES, INC
May 14, 2015 - September 20, 2016
SATURNA CAPITAL CORPORATION
June 12, 2014 - August 25, 2014
FIRST HEARTLAND CONSULTANTS, INC.
November 19, 2013 - September 5, 2014
FIRST HEARTLAND CAPITAL, INC.
February 5, 2013 - September 20, 2013
REGAL SECURITIES, INC.
February 16, 2012 - December 31, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
February 16, 2012 - December 31, 2012
ALLSTATE FINANCIAL SERVICES, LLC
March 9, 2011 - November 21, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - February 23, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - November 21, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 19, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 19, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 26, 2005 - January 19, 2006
MML INVESTORS SERVICES, LLC
July 26, 2005 - January 19, 2006
MML INVESTORS SERVICES, LLC
April 7, 2003 - July 27, 2005
NEW ENGLAND SECURITIES
July 24, 2002 - March 7, 2003
PRINCIPAL SECURITIES, INC.
May 13, 2002 - July 3, 2002
SECURITIES MANAGEMENT & RESEARCH, INC.
May 1, 1997 - November 15, 2000
LOCUST STREET SECURITIES, INC.
October 12, 1995 - January 8, 1997
AMERITAS INVESTMENT COMPANY, LLC
July 22, 1994 - October 17, 1995
HORNOR, TOWNSEND & KENT, 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
SATURNA BROKERAGE SERVICES, INC
CRD#: 18437 / SEC#: , 8-36558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SATURNA CAPITAL CORPORATION | 100% OWNER | |
| CARTEN, JANE KAISER | DIRECTOR | 2929087 |
| CARTEN, JANE KAISER | CEO AND PRESIDENT | 2929087 |
| FANKHAUSER, CHRISTOPHER REED | COO | 2857015 |
| FANKHAUSER, CHRISTOPHER REED | DIRECTOR | 2857015 |
| HANNA, KALEN MARTIN | CFO | 5710886 |
| HANNA, KALEN MARTIN | TREASURER | 5710886 |
| HANNA, KALEN MARTIN | DIRECTOR | 5710886 |
| STEWART, JACOB ANDREW | CCO AND AML OFFICER | 5456089 |
Disclosures
| Regulatory Event | 1 |
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.
