Quentin A. Davy
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.
Quentin A Davy, who also goes by Quentin Davy, was a registered financial professional .
Quentin is a previously registered financial professional and started their career in finance in 2013. Quentin had worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2019 - November 23, 2022
VINELEAF INVESTMENTS LLC
June 11, 2013 - December 1, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 2013 - December 1, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VINELEAF INVESTMENTS LLC
CRD#: 298212 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 44,761 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Florida | ERA - Withdrawn | 12/6/2022 |
| Georgia | ERA - Withdrawn | 3/17/2022 |
| Pennsylvania | ERA - Withdrawn | 3/17/2022 |
| Washington | ERA - Withdrawn | 3/17/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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