Annette M. Quinter

JAMES INVESTMENT RESEARCH

Xenia, OH 45385

Some features on this profile are disabled

CRD#: 4605465

Professional summary

Annette Marie Quinter, who also goes by Annette Marie Baumer, is a registered financial advisor currently at JAMES INVESTMENT RESEARCH INC located in Xenia, Ohio.

Annette is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Annette has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Annette Marie Baumer

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.

JAMES INVESTMENT RESEARCH, INC-INVESTMENT RELATED-1349 FAIRGROUND RD, XENIA, OH 45385-REGISTERED INVESTMENT ADVISOR - AVP, OPERATIONS -160 HRS. TOTAL PER MONTH 160 HOURS PER MONTH DURING TRADING HOURS-OPERATIONAL, ADMINISTRATIVE, TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annette Marie Quinter's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 18, 2011 - Present

JAMES INVESTMENT RESEARCH INC

Office #1: 1349 Fairground Road, Xenia, OH 45385

RIA

CRD#: 110433

Xenia, OH

Past

October 24, 2011 - December 2, 2022

ALPS DISTRIBUTORS, INC.

CRD#: 16853

XENIA, OH

Past

August 4, 2010 - October 24, 2011

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

July 1, 2005 - March 2, 2009

IFS FUND DISTRIBUTORS, INC.

CRD#: 24075

CINCINNATI, OH

Past

January 27, 2004 - March 18, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

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

Ohio
(11/18/2011)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/26/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/26/2004

General Securities Representative Examination

Current Firm

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1349 Fairground Road, Xenia, OH 45385

Mailing Address

P. O. Box 8, Alpha, OH 45301

Phone number

(937) 426-7640

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JAMES INVESTMENT RESEARCH, INC. ADV PART 2 DECEMBER 27, 2023 (12/19/2024)

Regulatory assets under management

Total Number of Accounts	681
AUM (Assets Under Management)	$ 1,165,234,618

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Douglas Kinsey

ARTIFEX FINANCIAL GROUP, LLC

IAR

Oakwood, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Annette M. Quinter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annette Marie Quinter's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

UNIFIED FINANCIAL SECURITIES, LLC

IFS FUND DISTRIBUTORS, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

JAMES INVESTMENT RESEARCH INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2004

SIE

Date: 10/1/2018

Series 7

Date: 1/26/2004

Current Firm

JAMES INVESTMENT RESEARCH INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JAMES INVESTMENT RESEARCH INC

TRUST BUT VERIFY

Similar Advisors