Cauldon Dean Quinn
Professional Summary
Cauldon Dean Quinn, who also goes by Cal Quinn, is a registered financial advisor currently at BANCROFT CAPITAL, LLC located in Fort Washington, Pennsylvania. Cauldon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Cauldon has worked at 6 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 55, Series 24, Series 27 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cal Quinn
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
BANCROFT CAPITAL, LLC
Contact Information
Main Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034Mailing Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034Phone Number
(484) 686-0346Established
Pennsylvania since 07/04/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
4FINRA licenses (35 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(5/2/2022)
(9/28/2018)
(9/12/2019)
(5/22/2018)
(9/24/2018)
(6/12/2018)
(4/29/2019)
(6/6/2018)
(10/3/2018)
(6/13/2018)
(7/6/2018)
(8/20/2019)
(8/21/2019)
(6/28/2021)
(8/6/2021)
(6/4/2018)
(9/26/2018)
(7/13/2018)
(9/18/2019)
(5/23/2019)
(6/27/2018)
(9/26/2018)
(5/15/2018)
(8/23/2018)
(7/2/2018)
(3/13/2019)
(7/25/2018)
(4/13/2018)
(5/14/2018)
(9/25/2018)
(8/16/2018)
(5/23/2018)
(9/4/2019)
(5/29/2018)
(9/27/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Sep 2003SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Cauldon Dean Quinn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cauldon Dean Quinn's CRS (Customer Relationship Summary).
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