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Douglas R Quint

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Information

Other Names: Doug Quint
Firm:
Type: Dual Registration
Description

Douglas Quint is a financial professional at Wells Fargo Advisors, LLC, a broker-dealer with over 26,800 registered representatives nationwide. Douglas has held an industry securities registration for 6 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Wells Fargo Advisors, LLC (19616) 3 years, 9 months Jan 2011 - Present
Wells Fargo Investments, LLC 2 years, 11 months Feb 2008 - Jan 2011
Wells Fargo Bank, N.A. 8 years, 1 month Sep 2006 - Present
Dell Incorporated 6 months Feb 2006 - Aug 2006
Progressive Insurance 4 months Sep 2005 - Jan 2006
Northwestern Mutual Life Insurance Company 8 months Dec 2004 - Aug 2005
Northwestern Mutual Investment Services,LLC 8 months Dec 2004 - Aug 2005
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 05/02/2008
General Securities Representative ExaminationSeries 7 04/17/2008
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 04/14/2005

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Douglas R Quint has not answered any questions on Financial Q&A.

Top Guides

Douglas R Quint has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Other Investment Advisors
Business Development Companies
State or Municipal Government Entities
Corporations or Other Businesses
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/11/2014
10/11/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions