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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-11-21
  • NC RA
    APPROVED
    Since 2023-11-21

Branch Locations

1333 Plaza Blvd, Sanford, NC 27330 • United States

1333 Plaza Blvd, Sanford, NC 27330 • 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
Infinex Investments, Inc. Meriden CT 04/2014 11/2018
Wells Fargo Clearing Services, Llc Wilmington NC 11/2018 10/2019
First Citizens Investor Services Raleigh NC 10/2019 11/2023
Rental Property Sanford NC 06/2005 10/2024
Rental Property Sanford NC 09/2005 10/2024
Nchsaa Sanford NC 08/2021 Present
Nc State University Raleigh NC 09/2021 Present
Osaic, Institutions, Inc. Meriden CT 11/2023 Present
First Bancorp Sanford NC 11/2023 Present
  • 04/2014 → 11/2018
    Infinex Investments, Inc.
    Meriden, CT
  • 11/2018 → 10/2019
    Wilmington, NC
  • 10/2019 → 11/2023
    First Citizens Investor Services
    Raleigh, NC
  • 06/2005 → 10/2024
    Rental Property
    Sanford, NC
  • 09/2005 → 10/2024
    Rental Property
    Sanford, NC
  • 08/2021 → Present
    Nchsaa
    Sanford, NC
  • 09/2021 → Present
    Nc State University
    Raleigh, NC
  • 11/2023 → Present
    Meriden, CT
  • 11/2023 → Present
    First Bancorp
    Sanford, NC
Previous Registrations
Other Businesses

1. NC State football chain crew. Began 09/2021, Raleigh NC. Not investment related. 16 hours per month, 0 during trading hours. Chain crew member for home football games. No compensation. 2. NCHSAA. Began 08/2021. Sanford NC, 27330. Not investment related, 20 hours per month, 0 during business hours. High school football official.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-23
S63 Uniform Securities Agent State Law Examination 2006-07-14
  • S65 Uniform Investment Adviser Law Examination
    2008-06-23
  • S63 Uniform Securities Agent State Law Examination
    2006-07-14
Other Names
  • John T Quiggle

View on SEC IAPD

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