John K. Quinlan
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 Kevin Quinlan was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 10 firms and has passed the Series 65, Series 63, Series 31, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2009 - July 20, 2012
WADDELL & REED
September 24, 2009 - July 20, 2012
WADDELL & REED
September 24, 2009 - July 20, 2012
IVY DISTRIBUTORS, INC.
September 7, 1993 - March 20, 2008
CITIGROUP GLOBAL MARKETS INC.
September 7, 1993 - March 20, 2008
CITIGROUP GLOBAL MARKETS INC.
May 23, 1988 - September 7, 1993
LEHMAN BROTHERS INC.
August 25, 1982 - June 1, 1988
FINANCIAL SQUARE PARTNERS
May 25, 1979 - August 24, 1982
BALIS & ZORN INC.
February 22, 1978 - June 11, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
October 8, 1975 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
April 5, 1974 - November 1, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 26, 1972 - March 27, 1974
SIGNATOR INVESTORS, INC.
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
PC
Date: 6/8/1995
AMEX Put and Call ExamSeries 1
Date: 1/24/1972
Registered Representative ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
