Thomas A. Quinn
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.
Thomas Andrew Quinn was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2014 - March 16, 2021
THE O.N. EQUITY SALES COMPANY
May 12, 2008 - December 31, 2012
AMERITAS INVESTMENT COMPANY, LLC
October 8, 1996 - May 4, 2007
EQUITY SERVICES, INC.
March 1, 1996 - May 29, 1996
MML INVESTORS SERVICES, LLC
October 22, 1991 - March 1, 1996
G. R. PHELPS & CO., INC.
October 20, 1980 - September 25, 1991
EQUITABLE ADVISORS, LLC
October 16, 1979 - September 25, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 1
Date: 10/4/1979
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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