Brian J. Quinn

CRD#: 4894412

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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.

Brian Joseph Quinn was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2007. Brian had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 23, 2019 - June 17, 2026

VIVALDI CAPITAL MANAGEMENT LP

RIA

CRD#: 7059

OAKBROOK TERRACE, IL

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".

VIVALDI CAPITAL MANAGEMENT LP

CRD#: 160150 / SEC#: 801-73024

RIA

Registered Investment Advisory firm - (2/13/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 4/25/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/17/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/8/2007

General Securities Representative Examination

Current Firm

VIVALDI CAPITAL MANAGEMENT LP

CRD#: 160150 / SEC#: 801-73024

RIA

Registered Investment Advisory firm - (2/13/2012 Approved)

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Contact information

Main Address

225 West Wacker Suite 2100, Chicago, IL 60606

Mailing Address

Phone number

(312) 248-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VIVALDI CAPITAL MANAGEMENT LP FORM ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	8,413
AUM (Assets Under Management)	$ 4,647,085,822

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2026	Cover Page	Report
07/22/2024	Cover Page	Report
10/24/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Brian J. Quinn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

VIVALDI CAPITAL MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2007

SIE

Date: 10/1/2018

Series 31

Date: 12/17/2008

Series 7

Date: 3/8/2007

Current Firm

VIVALDI CAPITAL MANAGEMENT LP

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VIVALDI CAPITAL MANAGEMENT LP

TRUST BUT VERIFY

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