Dana QuinnCRD Number: 2003743
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Dana Quinn (CRD# 2003743) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Old Saybrook, CT and has over 9 years of experience in the finance industry.
Sagepoint Financial, Inc.
Lansdowne Wealth Management, LLC
Kanner Financial Services LLC
|Bank Of America, N.a.||Madison, CT||Dec 2012 - Current||5|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Madison, CT||Jul 2012 - Current||5|
|Mark Stevens||Hamden, CT||Jan 2012 - Jul 2012||< 1|
|Waddell & Reed, Inc.||Hamden, CT||Jan 2008 - Jul 2012||4|
|Various Insurance Carriers For W & R Insurance Agencies||Clinton, CT||Apr 2008 - Jan 2012||3|
|Waddell & Reed, Inc.||Hamden, CT||Jan 2008 - Apr 2008||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 2008|
|S65||NASAA Investment Advisors Law Examination||Jun 2008|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management639,574MILLIONS
Total Number of Accounts1,831,494ACCOUNTS
Average Account Value$349,209
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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