QP
Quentin Pinner
MADISON AVENUE SECURITIES
Syracuse, NY
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CRD#: 7283413
QP
Professional summary
Quentin Pinner is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Syracuse, New York.
Quentin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Quentin has worked at 6 firms and has passed the Series 66, Series 52TO, Series 7TO, SIE, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Quentin Pinner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Quentin Pinner'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 5, 2024 - Present
MADISON AVENUE SECURITIES, LLC
Office #2: 13500 Evening Creek Dr N #555, San Diego, CA 92128RIA
BD
CRD#: 23224
Syracuse, NY
Current
November 5, 2024 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 13500 Evening Creek Dr N #555, San Diego, CA 92128RIA
BD
CRD#: 23224
San Diego, CA
Past
September 27, 2023 - October 31, 2024
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
ALBANY, NY
Past
December 19, 2022 - October 31, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
ALBANY, NY
Past
October 11, 2021 - December 23, 2021
ALLY INVEST ADVISORS
RIA
CRD#: 170301
Syracuse, NY
Past
June 29, 2021 - December 23, 2021
ALLY INVEST SECURITIES LLC
BD
CRD#: 136131
CHARLOTTE, NC
Past
December 9, 2020 - February 11, 2021
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
August 28, 2020 - February 11, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, 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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
California(11/5/2024)
IAR
California(11/6/2024)
RR
New York(11/5/2024)
IAR
New York(11/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 6/16/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 8/28/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
