GQ
Garret M. Quillen
PALLAS CAPITAL ADVISORS
Newport, RI 02840
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CRD#: 7333609
GQ
Professional summary
Garret Mark Quillen is a registered financial advisor currently at PALLAS CAPITAL ADVISORS, LLC located in Newport, Rhode Island and PURSHE KAPLAN STERLING INVESTMENTS located in Newport, Rhode Island.
Garret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Garret has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.
1. Garret Quillen is dually-registered as an Investment Advisor Representative with Pallas Capital Advisors LLC ("Pallas" - since 03/2023) and as a Registered Representative with Purshe Kaplan Sterling Investments, Inc. ("PKS" - since 04/2023). Business is conducted from 51 Long Wharf Mall, Newport, RI 02840. Approximately 90% of Mr. Quillen's time is for services under Pallas and the balance as a Registered Representative of PKS. 2. Fixed Insurance. Investment Related. At registered location. Independent Insurance Agency. Agent. Traditional/Fixed Insurance. 5/2023. 10 hrs/month all during trading hrs. Provide insurance advice based on the needs of clients. 3. Notary. Not Investment Related. 28 Tupelo Hill Drive, Cranston, Rhode Island, 02920. Notary. Signing Agent/Notary. 3/1/2021. 1 hr/month with 0 during trading hrs. Notarizing documents. 4. Proprietor (Auto Detailing). 51 Long Wharf Mall, Newport, Rhode Island, 02840. Proprietor. Auto detailing. 4/1/2014. 5 hrs/month with 0 during trading hours. Auto Detailing.
CRS (Client Relationship Summary) - RIA
Click below to view Garret Mark Quillen'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
March 8, 2023 - Present
PALLAS CAPITAL ADVISORS, LLC
Office #1: 51 Long Wharf Mall, Newport, RI 02840RIA
CRD#: 310327
Newport, RI
Current
April 28, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 51 Long Wharf Mall, Newport, RI 02840BD
CRD#: 35747
Newport, RI
Past
October 26, 2021 - April 5, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
EAST PROVIDENCE, RI
Past
May 17, 2021 - April 5, 2023
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
EAST PROVIDENCE, RI
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".
PC
PALLAS CAPITAL ADVISORS, LLC
PALLAS CAPITAL ADVISORS, LLC
CRD#: 310327 / SEC#: 801-119646
RIA
Registered Investment Advisory firm - (11/12/2020 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(3/7/2025)
IAR
Rhode Island(3/8/2023)
RR
Rhode Island(5/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/17/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PALLAS CAPITAL ADVISORS, LLC
PALLAS CAPITAL ADVISORS, LLC
CRD#: 310327 / SEC#: 801-119646
RIA
Registered Investment Advisory firm - (11/12/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
45 Braintree Hill Office Park Suite 201, Braintree, MA 02184
Mailing Address
Phone number
(781) 971-5052
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (26 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,780 |
| AUM (Assets Under Management) | $ 3,195,166,308 |
Red Flags
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Company Information
PALLAS CAPITAL ADVISORS, LLC
CRD#: 310327Newport, RI 02840TRUST BUT VERIFY
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