Profilo
Prior to joining First Allied Securities, Mr. Quinn was in private law practice, primarily representing broker/dealers and investment advisers in addition to serving as an arbitrator and mediator at FINRA Dispute Resolution, Inc. From 1998 through 2008, he served as Senior Vice President and General Counsel of Royal Alliance Associates, Inc., a broker/dealer and investment advisory firm located in New York.
In that role, he had overall responsibility for the legal and compliance functions of the firm, including litigation and regulatory matters, design and review of compliance systems and programs, and other corporate legal matters.
Prior to joining Royal Alliance, Mr. Quinn practiced law in New York City.
He is a frequent speaker at legal and securities industry meetings on topics relating to sales and distribution of securities and investment advisory services.
He is a former Chairman of the Compliance Council of the Financial Services Institute, a former member of its Board of Directors.
Mr. Quinn holds a bachelor's degree in finance from Arizona State University, and Master of Business Administration and law degrees from the University of Denver.
Precedenti posizioni note di Mark David Quinn
| Società | Posizione | Fine |
|---|---|---|
Osaic Wealth, Inc.
 Osaic Wealth, Inc. Investment Banks/BrokersFinance Osaic Wealth, Inc. is a registered broker/dealer headquartered in Jersey City, New Jersey. The firm was founded in 1988 as Royal Alliance Associates, Inc. and changed their name to Osaic Wealth, Inc. in 2023. They are a subsidiary of Osaic, Inc. Osaic Wealth provides a full array of trading and execution services for various clients. | Consigliere Generale | - |
| Financial Services Institute, Inc. | Corporate Officer/Principal | - |
First Allied Securities, Inc.
 First Allied Securities, Inc. Investment Banks/BrokersFinance Founded in 1993, First Allied Securities, Inc. is an independent, SEC-registered broker/dealer headquartered in San Diego, California. The firm is a member of FINRA, the NASD and the SIPC. First Allied Securities Inc. was previously a subsidiary of Advanced Equities Financial Corp. In April 2006, Advanced Equities Financial Corp. acquired First Financial Planners and merged it with First Allied Securities. In 2008, the firm acquired First Montauk Securities Corp. from First Montauk Financial Corp. In 2011, Lovell Minnick Partners LLC and the management team of First Allied Advisory Services acquired the firm from Advanced Equities Financial Corp. First Allied Securities is affiliated with First Allied Advisory Services, Inc., a registered investment advisor. The firm provides a full array of trading and execution services for their clients. They do not provide any internal research. | Corporate Officer/Principal | - |
Formazione di Mark David Quinn
| Arizona State University | Undergraduate Degree |
| University of Denver | Masters Business Admin |
Esperienze
Posizioni ricoperte
Attive
Inattive
Società quotate in Borsa
Aziende private
Relazioni
Relazioni di 1° grado
Aziende connesse in 1º grado
Uomo
Donna
Amministratori
Dirigenti
Società collegate
| Aziende private | 3 |
|---|---|
First Allied Securities, Inc.
First Allied Securities, Inc. Investment Banks/BrokersFinance Founded in 1993, First Allied Securities, Inc. is an independent, SEC-registered broker/dealer headquartered in San Diego, California. The firm is a member of FINRA, the NASD and the SIPC. First Allied Securities Inc. was previously a subsidiary of Advanced Equities Financial Corp. In April 2006, Advanced Equities Financial Corp. acquired First Financial Planners and merged it with First Allied Securities. In 2008, the firm acquired First Montauk Securities Corp. from First Montauk Financial Corp. In 2011, Lovell Minnick Partners LLC and the management team of First Allied Advisory Services acquired the firm from Advanced Equities Financial Corp. First Allied Securities is affiliated with First Allied Advisory Services, Inc., a registered investment advisor. The firm provides a full array of trading and execution services for their clients. They do not provide any internal research. | Finance |
Osaic Wealth, Inc.
Osaic Wealth, Inc. Investment Banks/BrokersFinance Osaic Wealth, Inc. is a registered broker/dealer headquartered in Jersey City, New Jersey. The firm was founded in 1988 as Royal Alliance Associates, Inc. and changed their name to Osaic Wealth, Inc. in 2023. They are a subsidiary of Osaic, Inc. Osaic Wealth provides a full array of trading and execution services for various clients. | Finance |
| Financial Services Institute, Inc. |
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