Profile

Mark Quinn
Director of Regulatory Affairs
Cetera Financial Group

Mark Quinn is the Director of Regulatory Affairs for Cetera Financial Group, the corporate parent of a group of broker-dealers and Registered Investment Advisors with more than 7,500 representatives located across the United States.  He manages a team of professionals responsible for examinations, investigations, and enforcement activity with regulatory agencies including the SEC, FINRA, DOL, and state securities authorities.   He is also responsible for advocacy and development of regulatory policy on behalf of the firm.   Prior to joining Cetera, Mr. Quinn was the Chief Risk Officer of First Allied Securities, Inc., and was formerly Senior Vice President and General Counsel of Royal Alliance Associates.
 
Mr. Quinn is a frequent speaker on issues involving sales and distribution of securities and provision of investment advisory services.  He is a former Chairman of the Compliance Council of the Financial Services Institute and the Retirement Plans and Tax and Regulatory Policy Committee of the Insured Retirement Institute, and is a member of the District Committee for FINRA District No. 2.  He holds a B.S. in Finance from Arizona State University and M.B.A. and J.D. degrees from the University of Denver,  and is a member of the Colorado, New York, and Florida bars.  


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