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Detailed Report
Daniel Vincent Quinn
DANIEL VINCENT QUINN, Daniel V Quinn
CRD#: 3027497
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 41 University Drive, Suite 400
Office 423, 427, 439
Newtown, PA 18940
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - 2021 (5 years)2 FIRMS2023 - Present (1 year)BEMPIRE ASSET MANAGEMENT COMPANY (CRD# 143007)2009 - 2013 (3 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)2002 - 2009 (6 years)BJOSEPH STEVENS & COMPANY, INC. (CRD# 35459)1998 - 2002 (3 years)IAFACET (CRD# 285961)2021 - 2023 (1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2015 - 2020 (5 years)
Disclosure(s)
View By:
6/15/2006
Customer Dispute
Settled
License(s)

State Registrations

B
California 11/20/2024
IA
Pennsylvania 7/27/2023
B
New Jersey 9/27/2023
B
Pennsylvania 8/29/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
41 University Drive, Suite 400 Office 423, 427, 439, Newtown, PA 18940
Philadelphia, PA
Registered with this firm since 7/27/2023
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
41 University Drive, Suite 400 Office 423, 427, 439, Newtown, PA 18940
Philadelphia, PA
Registered with this firm since 7/26/2023
Previous Registration(s)
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IA
 08/05/2021 - 03/14/2023 FACET (CRD#:285961) Philadelphia, PA
IA
 09/29/2015 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) RADNOR, PA
B
 09/29/2015 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) RADNOR, PA
IA
 09/29/2015 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Randor, PA
IA
 07/02/2013 - 09/25/2015 MORGAN STANLEY (CRD#:149777) PHILADELPHIA, PA
B
 04/19/2013 - 09/25/2015 MORGAN STANLEY (CRD#:149777) PHILADELPHIA, PA
B
 06/16/2009 - 04/16/2013 EMPIRE ASSET MANAGEMENT COMPANY (CRD#:143007) NEW YORK, NY
B
 07/23/2002 - 06/26/2009 NATIONAL SECURITIES CORPORATION (CRD#:7569) NEW YORK, NY
B
 12/08/1998 - 08/21/2002 JOSEPH STEVENS & COMPANY, INC. (CRD#:35459) BROOKLYN, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.