John 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.
John Quinn, who also goes by John Daniel Quinn, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 11 firms and has passed the Series 63, SIE, Series 7 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
October 22, 2019 - February 22, 2021
VALIC FINANCIAL ADVISORS, INC.
October 22, 2019 - February 22, 2021
VALIC FINANCIAL ADVISORS, INC.
May 13, 2019 - November 22, 2019
LPL FINANCIAL LLC
May 10, 2019 - November 22, 2019
LPL FINANCIAL LLC
June 11, 2012 - May 16, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
June 8, 2012 - May 16, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
May 2, 2009 - May 14, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - May 14, 2012
CHASE INVESTMENT SERVICES CORP.
February 23, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
June 16, 2004 - May 2, 2009
WAMU INVESTMENTS, INC.
May 25, 2004 - June 12, 2004
US EURO SECURITIES, INC
February 6, 2002 - May 30, 2002
GREAT EASTERN SECURITIES, INC.
June 27, 2001 - January 10, 2002
INVESTSCAPE INC.
August 17, 2000 - February 14, 2001
DPEC CAPITAL, INC.
December 18, 1998 - January 3, 2000
INVESTSCAPE INC.
November 14, 1997 - July 14, 1998
FIRST LIBERTY INVESTMENT GROUP, INC.
December 13, 1996 - October 29, 1997
THE BOSTON GROUP
Primary Firm SEC Registration
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
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
VALIC FINANCIAL ADVISORS, INC.
CRD#: 42803 / SEC#: 801-54952, 8-50018
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
