Quentin Robb Resigns from Transitional Broker LLC

Quentin Robb (CRD #: 2825002), a broker formerly registered with Parsonex Securities, has resigned from another firm, according to his BrokerCheck record, accessed on May 4, 2025. Read on to learn more about his alleged conduct as a broker.

Resignation from Transitional Broker LLC

On March 7, 2025, Quentin Robb resigned from Transitional Broker LLC following allegations that he signed and approved a mutual fund account application on behalf of a firm representative despite lacking authorization to do so.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Tax Lien

On June 24, 2019, Quentin Robb incurred a tax lien of $14,571.01.

Bankruptcies

On March 6, 2018, Quentin Robb discharged a bankruptcy.

On December 21, 2017, he had a bankruptcy dismissed.

Massachusetts Regulatory Actions

On August 27, 2015, the Commonwealth of Massachusetts filed regulatory actions against Quentin Robb concerning his registrations as a broker of Parsonex Securities and as an investment adviser representative of Parsonex Advisory Services.

With regard to his registration as a broker, the state alleged that Quentin Robb failed to promptly report six disclosures of personal financial distress, including compromises with creditors, on his Form U4 (Application for Securities Industry Registration or Transfer).

He allegedly also failed to promptly report five personal finance disclosures on his Form U4 seeking registration as an investment adviser representative.

Both regulatory actions also cited allegations that he was terminated by J.P. Morgan Securities in 2013 for failing to verify a client’s net worth and depositing personal funds into another client’s IRA account to correct a deficit.

Code of Massachusetts Regulations

The Code of Massachusetts Regulations Section 12.203(5) requires brokers and investment adviser representatives to amend their application for registration when it becomes inaccurate or incomplete.

Sanctions

Massachusetts ordered the following conditions on Quentin Robb’s registrations as a broker of Parsonex Securities and his registration as an investment adviser representative of Parsonex Advisory Services for two years:

• Notification to the Massachusetts Securities Division of any financial event requiring disclosure or amendment to his Form U4
• Heightened supervision and restriction from exercising discretion in Massachusetts investor accounts
• Quentin Robb cannot have any principal, supervisory, or managerial duties while associated with either firm
• Notification to his supervisor and the Director of the Securities Division should Quentin Robb become the subject of a customer complaint or regulatory investigation, arbitration proceedings, or other litigation relating to securities
• Notification to his supervisor of any inaccuracy in representations made to the Securities Division or any breach of his undertakings
• Submission of an affidavit stating that he has fully complied with all conditions

Background Information

Quentin Robb has passed the following exams:

• General Securities Sales Supervisor – General Module Examination – Series 10
• General Securities Sales Supervisor – Options Module Examination – Series 9
• General Securities Principal Examination – Series 24
• General Securities Representative Examination – Series 7TO
• Securities Industry Essentials Examination – SIE
• National Commodity Futures Examination – Series 3
• General Securities Representative Examination – Series 7
• Uniform Combined State Law Examination – Series 66
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

He has also worked for the following firms:

• Parsonex Securities (CRD#:144412)
• Girard Securities (CRD#:18697)
• Waddell & Reed (CRD#:866)
• J.P. Morgan Securities (CRD#:79)
• Chase Investment Services (CRD#:25574)
• Morgan Stanley Smith Barney (CRD#:149777)
• Citigroup Global Markets (CRD#:7059)
• Morgan Stanley DW (CRD#:7556)
• Zions Investment Securities (CRD#:17776)

Kurta Law Can Help

If you worked with Quentin Robb and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.