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Current Employers
Quad City Investment Center

3551 7Th Street, Moline, IL 61265 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-04-03
IL RA APPROVED 2009-03-27
IA RA APPROVED 2009-03-27
  • TX RA
    APPROVED_RES
    Since 2018-04-03
  • IL RA
    APPROVED
    Since 2009-03-27
  • IA RA
    APPROVED
    Since 2009-03-27

Branch Locations

3551 7Th Street, Moline, IL 61265 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Davenport IA 08/1999 Present
Quad City Investment Advisors, Llc Davenport IA 01/2009 Present
Cmg Investment Advisers, Llc Davenport IA 03/2009 11/2016
  • 08/1999 → Present
    Lpl Financial Llc
    Davenport, IA
  • 01/2009 → Present
    Quad City Investment Advisors, Llc
    Davenport, IA
  • 03/2009 → 11/2016
    Cmg Investment Advisers, Llc
    Davenport, IA
Other Businesses

1. 08/20/1999 - QUAD CITY INVESTMENT CENTER - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - TIME SPENT 100%. 2. 4/29/2008 - QUAD CITY BANK AND TRUST - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Time Spent 17% - JOIN THE MANAGEMENT TEAM OF THE BANK AS VICE PRESIDENT - WEALTH MANAGEMENT. 3. 3/29/2010 - Quad City Investment Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Time Spent 20% - FIXED FEE. 4. 6/15/2017 - Quad City Investment Advisors, LLC - DBA: Quad City Investment Center - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 04/01/2017 - 25 Hours Per Month/5 Hours During Securities Trading - I provide investment advisory services through Quad City Investment Advisors, LLC, an independent investment advisor firm. I started this business activity in June 2017. I expect to spend approximately 25 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-14
S63 Uniform Securities Agent State Law Examination 1994-07-11
  • S65 Uniform Investment Adviser Law Examination
    1998-08-14
  • S63 Uniform Securities Agent State Law Examination
    1994-07-11

View on SEC IAPD

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