Wayne R. Quint
QUINT INVESTMENTS AND INSURANCE
Wappingers Falls, NY 12590
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CRD#: 4024460
Professional summary
Wayne Richard Quint, CFP® is a registered financial advisor currently at QUINT INVESTMENTS AND INSURANCE located in Wappingers Falls, New York.
Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Wayne has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) May conduct college financial planning for College Planning 101, Inc. and be compensated $100 per hour by College Planning 101, Inc.- have not been compensated as of yet for any of these services
2) Wayne R. Quint is President of Quint Risk Management, Inc. an Insurance Agency that practices life accident and health insurance.
3) Owner; 20 Forbus Street LLC; Investment Related: Yes; Location: 20 Forbus Street, Poughkeepsie, NY 12601; Description of the business: Rental Property; Responsibilities Duties: Property Management; Start date with business: 2020-03-16; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 3;
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Richard Quint's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2015
Experience
Current
May 26, 2016 - Present
QUINT INVESTMENTS AND INSURANCE
Office #1: 210 New Hackensack Road, Wappingers Falls, NY 12590RIA
CRD#: 168463
Wappingers Falls, NY
Past
June 19, 2013 - September 30, 2013
FINANCIAL SERVICES CENTER ASSET MANAGEMENT INC.
RIA
CRD#: 129708
RED HOOK, NY
Past
May 25, 2000 - December 6, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
QI
QUINT INVESTMENTS AND INSURANCE
HUDSON VALLEY WEALTH MANAGEMENT GROUP | QUINT WEALTH MANAGEMENT, INC. | QUINT INVESTMENTS AND INSURANCE
CRD#: 168463 / SEC#: 801-118831
RIA
Registered Investment Advisory firm - (6/1/2020 Approved)Connecticut
Registered Investment Advisory firm - (2/17/2021 Terminated)New York
Registered Investment Advisory firm - (6/3/2020 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Connecticut(5/26/2016)
IAR
New York(8/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
QI
QUINT INVESTMENTS AND INSURANCE
HUDSON VALLEY WEALTH MANAGEMENT GROUP | QUINT WEALTH MANAGEMENT, INC. | QUINT INVESTMENTS AND INSURANCE
CRD#: 168463 / SEC#: 801-118831
RIA
Registered Investment Advisory firm - (6/1/2020 Approved)Connecticut
Registered Investment Advisory firm - (2/17/2021 Terminated)New York
Registered Investment Advisory firm - (6/3/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
210 New Hackensack Road, Wappingers Falls, NY 12590
Mailing Address
Phone number
(845) 345-3628
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 709 |
| AUM (Assets Under Management) | $ 88,515,065 |
Red Flags
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Company Information
QUINT INVESTMENTS AND INSURANCE
CRD#: 168463Wappingers Falls, NY 12590TRUST BUT VERIFY
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