James M. Quinton
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.
James Michael Quinton was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 12 firms and has passed the Series 63, Series 000 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
February 3, 2000 - May 10, 2012
BARRETT & COMPANY
June 15, 1999 - January 27, 2000
AUERBACH, POLLAK & RICHARDSON INC.
April 27, 1998 - May 25, 1999
AVALON RESEARCH GROUP, INC.
May 20, 1997 - April 3, 1998
DOMINARI SECURITIES LLC
July 7, 1995 - May 7, 1997
BARRETT & COMPANY
April 3, 1995 - July 7, 1995
BROWN, LISLE/CUMMINGS, INC.
February 26, 1990 - March 13, 1995
BARRETT & COMPANY
September 11, 1989 - February 17, 1990
J. B. HANAUER & CO.
December 21, 1988 - September 25, 1989
ADVEST, INC.
June 3, 1988 - December 23, 1988
LEHMAN BROTHERS INC.
January 31, 1986 - May 24, 1988
TUCKER ANTHONY INCORPORATED
November 29, 1984 - May 27, 1986
OFS, INC.
March 22, 1984 - October 26, 1984
DOMIK CORP.
May 5, 1983 - February 6, 1984
ROBERT THOMAS SECURITIES, INC
Primary Firm SEC Registration
BARRETT & COMPANY
CRD#: 1175 / SEC#: 801-110786, 8-44856
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 000
Date: 10/29/1963
General Securities Principal ExaminationSeries 1
Date: 9/10/1960
Registered Representative ExaminationCurrent Firm
BARRETT & COMPANY
CRD#: 1175 / SEC#: 801-110786, 8-44856
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAVILLE, WILSON GORDON II | PRESIDENT,SECRETARY,CHIEF COMPLIANCE OFFICER, & CHIEF FINANCIAL OFFICER | 1406756 |
Regulatory assets under management
| Total Number of Accounts | 1,040 |
| AUM (Assets Under Management) | $ 453,480,963 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 3 |
Red Flags
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