Cauldon D. 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.
Question & Answer
Aliases
Other business activities
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).
Certified licenses
Experience
April 13, 2018 - Present
BANCROFT CAPITAL, LLC
Office #1: 501 Office Center Drive Suite 130, Fort Washington, PA 19034Office #2: 111 West Jackson Boulevard 1700, Chicago, IL, 60604May 10, 2018 - Present
BANCROFT CAPITAL, LLC
Office #1: 501 Office Center Drive Suite 130, Fort Washington, PA 19034Office #2: 111 West Jackson Boulevard 1700, Chicago, IL, 60604September 21, 2017 - April 30, 2018
CFG CAPITAL MARKETS, LLC
April 16, 2010 - November 1, 2016
DREXEL HAMILTON, LLC
January 7, 2005 - April 18, 2006
SEI INVESTMENTS DISTRIBUTION CO.
July 8, 2002 - January 2, 2004
UNX LLC
May 21, 2002 - June 28, 2002
PCS SECURITIES, 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
(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)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 9/19/2003
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
BANCROFT CAPITAL, LLC
CRD#: 290665 / SEC#: , 8-70035
Contact information
FINRA licenses (34 States and Territories)
Red Flags
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