JQ
John T. Quiggle
OSAIC INSTITUTIONS
Sanford, NC 27330
Some features on this profile are disabled
CRD#: 5142600
JQ
Professional summary
John Thomas Quiggle, who also goes by John T Quiggle, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Sanford, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. John has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John T Quiggle
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. NC State football chain crew. Began 09/2021, Raleigh NC. Not investment related. 16 hours per month, 0 during trading hours. Chain crew member for home football games. No compensation. 2. NCHSAA. Began 08/2021. Sanford NC, 27330. Not investment related, 20 hours per month, 0 during business hours. High school football official.
CRS (Client Relationship Summary) - RIA
Click below to view John Thomas Quiggle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Thomas Quiggle'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®
NoneExperience
Current
November 21, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1333 Plaza Blvd, Sanford, NC 27330Office #2: 1333 Plaza Blvd, Sanford, NC 27330RIA
BD
CRD#: 35371
Sanford, NC
Current
November 21, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1333 Plaza Blvd, Sanford, NC 27330RIA
BD
CRD#: 35371
Sanford, NC
Past
October 23, 2019 - November 27, 2023
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
Sanford, NC
Past
October 23, 2019 - November 27, 2023
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
Sanford, NC
Past
November 30, 2018 - October 24, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PINEHURST, NC
Past
November 30, 2018 - October 24, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PINEHURST, NC
Past
April 2, 2014 - December 1, 2018
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
SANFORD, NC
Past
April 2, 2014 - December 1, 2018
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
SANFORD, NC
Past
March 21, 2014 - March 31, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SANFORD, NC
Past
March 21, 2014 - March 31, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SANFORD, NC
Past
February 19, 2013 - March 21, 2014
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
SANFORD, NC
Past
February 19, 2013 - March 21, 2014
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
SANFORD, NC
Past
December 10, 2010 - February 20, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANFORD, NC
Past
December 10, 2010 - February 20, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SANFORD, NC
Past
July 1, 2008 - December 13, 2010
EDWARD JONES
RIA
CRD#: 250
SANFORD, NC
Past
July 11, 2006 - December 13, 2010
EDWARD JONES
BD
CRD#: 250
SANFORD, NC
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/17/2024)
IAR
North Carolina(11/21/2023)
RR
North Carolina(11/28/2023)
RR
Tennessee(1/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
