Francis J. 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.
Francis J Quinn was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1973. Francis had worked at 10 firms and has passed the Series 63, PC, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2010 - March 18, 2014
THE WILLIAMS CAPITAL GROUP, L.P.
September 25, 2009 - March 8, 2010
GARDNER RICH, L.L.C.
March 8, 2001 - June 17, 2008
J.P. MORGAN SECURITIES LLC
January 2, 2001 - April 16, 2001
QUICK & REILLY, INC.
February 2, 1998 - January 2, 2001
APEX CLEARING CORPORATION
August 19, 1996 - February 2, 1998
FLEET SECURITIES INC.
October 25, 1995 - August 15, 1996
MURIEL SIEBERT & CO., LLC
November 7, 1991 - November 29, 1994
REINOSO & COMPANY, INCORPORATED
September 26, 1978 - September 19, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 5/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/12/1973
Registered Representative ExaminationCurrent Firm
THE WILLIAMS CAPITAL GROUP, L.P.
CRD#: 35149 / SEC#: , 8-46623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, CHRISTOPHER JUDSON | CHAIRMAN,CEO,LTD PARTNER | 1335377 |
| THE WILLIAMS CAPITAL GROUP, INC. | GENERAL PARTNER | |
| LEVIN, JONATHAN WILLIAM | MANAGING DIRECTOR, LTD PARTNER | 1312315 |
| CALABRISOTTO, DIANNE | LIMITED PARTNER | 1273900 |
| CALABRISOTTO, DIANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1273900 |
| CALABRISOTTO, DIANNE | CCO, CAO | |
| CALABRISOTTO, DIANNE | CHIEF OPERATING OFFICER | 1273900 |
| CARL, STEPHEN JULIUS | SROP, CROP, ASSISTANT VICE PRESIDENT OF THE WILLIAMS CAPITAL GROUP, INC, THE GENERAL PARTNER OF THE WILLIAMS CAPITAL GROUP, L.P. | 1542098 |
| COARD, DAVID ANTHONY | LIMITED PARTNER | 1633685 |
| FINKELSTEIN, DAVID ANDREW | LIMITED PARTNER | 1056495 |
| WO, PATRICK C | CHIEF FINANCIAL OFFICER, FINOP | 1978566 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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