Fran 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.
Fran Quinn was a registered financial professional .
Fran is a previously registered financial professional and started their career in finance in 2018. Fran had worked at 11 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2022 - November 16, 2023
BMO CAPITAL MARKETS CORP.
August 7, 2019 - May 27, 2020
CFWP SECURITIES, LLC
August 7, 2019 - December 11, 2020
SUNRISE BROKERS LLC
August 7, 2019 - December 11, 2020
MINT BROKERS
August 7, 2019 - December 11, 2020
GFI SECURITIES LLC
August 7, 2019 - December 11, 2020
FMX EXECUTION, LLC
August 7, 2019 - December 11, 2020
CF SECURED, LLC
August 7, 2019 - December 11, 2020
BGC FINANCIAL, L.P.
August 7, 2019 - December 11, 2020
AQUA SECURITIES L.P.
August 7, 2019 - January 27, 2021
CASTLEOAK SECURITIES, LP
July 16, 2018 - December 11, 2020
CANTOR FITZGERALD & CO.
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
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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