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CV

Cassandra J. Vining

QUAD CITY INVESTMENT CENTER
DAVENPORT, IA 52807
Some features on this profile are disabled
CRD#: 6797100
CV

Professional summary

Cassandra J Vining, who also goes by Cassie VIning, is a registered financial advisor currently at QUAD CITY INVESTMENT CENTER located in Davenport, Iowa and LPL FINANCIAL LLC located in Davenport, Iowa.

Cassandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Cassandra has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Cassie Vining

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) 12/08/2021 - Quad City Investment Center - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cassandra J Vining'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

October 16, 2023 - Present

QUAD CITY INVESTMENT CENTER

Office #1: 5405 Utica Ridge Road Suite 100, Davenport, IA 52807
RIA
CRD#: 112187
DAVENPORT, IA
Current

March 12, 2022 - Present

LPL FINANCIAL LLC

Office #1: 5405 Utica Ridge Road, Ste 100, Davenport, IA 52807-2940
RIA
BD
CRD#: 6413
Davenport, IA
Past

September 26, 2023 - November 20, 2023

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC

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".
QC
QUAD CITY INVESTMENT CENTER
CMG INVESTMENT ADVISORS, L.L.C. | QUAD CITY INVESTMENT CENTER | QUAD CITY INVESTMENT ADVISORS, LLC | QUAD CITY INVESTMENT ADVISORS

CRD#: 112187 / SEC#: 801-60227

RIA
Registered Investment Advisory firm - (5/22/2001 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.
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
Arizona
(7/3/2025)
IAR
Illinois
(10/16/2023)
RR
Illinois
(4/18/2024)
RR
Indiana
(12/23/2024)
RR
Iowa
(9/26/2023)
IAR
Iowa
(10/16/2023)
RR
Montana
(7/3/2025)
RR
Wisconsin
(4/18/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/23/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/11/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

QC
QUAD CITY INVESTMENT CENTER
CMG INVESTMENT ADVISORS, L.L.C. | QUAD CITY INVESTMENT CENTER | QUAD CITY INVESTMENT ADVISORS, LLC | QUAD CITY INVESTMENT ADVISORS

CRD#: 112187 / SEC#: 801-60227

RIA
Registered Investment Advisory firm - (5/22/2001 Approved)
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Contact information

Main Address
3551 7th Street, Moline, IL 61265
Mailing Address
Phone number
(309) 743-7793
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

QUAD CITY INVESTMENT CENTER WRAP BROCHURE (3/14/2025)
QUAD CITY INVESTMENT CENTER ADV BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts911
AUM (Assets Under Management)$ 308,626,743

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.

Company Information

QUAD CITY INVESTMENT CENTER

CRD#: 112187Davenport, IA 52807

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