Mark Quinn

Mark Quinn is the Director of Regulatory Affairs for Cetera Financial Group, the corporate parent of a group of broker-dealers and investment advisors with approximately12,000 financial advisers in offices across the United States. In that role, he directs the firm’s government relations and advocacy efforts with respect to legislative and regulatory policy at the state and federal level.   

Mark has served in multiple roles in the wealth management industry and private law practice for more than 35 years, including as General Counsel for broker-dealers and investment advisors.  He is a frequent speaker at conferences and seminars on legal issues dealing with the provision of financial and investment advice.

Mark holds a B.S. in Finance from Arizona State University and M.B.A. and J.D. degrees from the University of Denver. He is a member of the Colorado, New York, and Florida bars.

4c. IA - Integrating Compliance During M&A Transition (Advanced)