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Thomas Michael Quinn

Rbc Capital Markets, LLC

Florham Park, NJ

Cape May, NJ

CRD 1589858

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-04-06
NJ RA APPROVED 2009-10-09
  • TX RA
    APPROVED
    Since 2017-04-06
  • NJ RA
    APPROVED
    Since 2009-10-09

Branch Locations

200 Park Avenue 2Nd Floor, Florham Park, NJ 07932-1026 • United States

Cape May, NJ • 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
Rbc Capital Markets, Llc Florham Park NJ 10/2009 Present
City National Bank Florham Park NJ 04/2019 Present
Previous Registrations
  • 2002-05-20 → 2009-10-09
    J. B. Hanauer & Co.
    Parsippany, NJ
    Parsippany, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-03-23
S63 Uniform Securities Agent State Law Examination 1987-02-02
  • S65 Uniform Investment Adviser Law Examination
    2010-03-23
  • S63 Uniform Securities Agent State Law Examination
    1987-02-02
Designations
  • Certified Financial Planner
Other Names
  • Tom Quinn

View on SEC IAPD

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Nearby Offices

WISS PRIVATE CLIENT ADVISORS, LLC · FLORHAM PARK, NJ
JACOBS LEVY EQUITY MANAGEMENT · FLORHAM PARK, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ

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