Gina N. Quinonez
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.
Gina Nicole Quinonez, who also goes by Gina Nicole Moss, Gina Moss, Gina N. Moss-quinonez, Gina Nicole Moss-quinonez, Gina N. Quinonez, Gina Nicole Quinonez Mrs, Gina Nicole Quinonez, was a registered financial professional .
Gina is a previously registered financial professional and started their career in finance in 1995. Gina had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2017 - June 4, 2019
MML INVESTORS SERVICES, LLC
March 13, 2015 - February 13, 2016
JBS LIBERTY SECURITIES, INC.
July 15, 2014 - February 4, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 8, 2010 - October 30, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 9, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 9, 2006 - September 21, 2010
WALNUT STREET SECURITIES, INC.
August 9, 2006 - September 21, 2010
TOWER SQUARE SECURITIES, INC.
August 9, 2006 - September 21, 2010
NEW ENGLAND SECURITIES
August 9, 2006 - September 21, 2010
MSI FINANCIAL SERVICES, INC.
November 24, 1999 - November 29, 2004
FRED ALGER & COMPANY, LLC
February 12, 1999 - March 16, 1999
WALL STREET ACCESS
August 13, 1998 - December 10, 1998
CHARLES SCHWAB & CO., INC.
October 13, 1995 - February 1, 1998
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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: 9/3/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
