MA-I/A 0001881014 XXXXXXXX Ted Vogtman 973-618-9509 tvogtman@alternativereg.com tvogtman@alternativereg.com kbrunnemeriii@firsttryon.com wgoldsmith@firsttryon.com Y 0001881014-23-000042 Y Kevin George Quinn N 1 0001881014 First Tryon Advisors, LLC First Tryon Advisors 11-01-2021 Y 867-02606 LOCATED 11-01-2021 122 SEVERN AVENUE ANNAPOLIS MD 21403 LOCATED 11-01-2021 SUPERVISED 11-01-2021 6101 Carnegie Blvd. Suite 210 CHARLOTTE NC 28209 11-2021 First Tryon Advisors, LLC ANNAPOLIS MD 21403 Y N Managing Director 11-2011 10-2021 Wye River Capital Incorporated Annapolis MD 21403 Y N President N N N N N N N N N N N N Y N N N N Y N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N Y 05-31-2024 Kimberly McManus President, Alternative Regulatory Solutions, LLC 6C(4) BarTemporary CivilAdminPenaltyFine 11-17-1999 In the Matter of Kevin G. Quinn, SEC Administrative File No. 3-10098 Administrative Proceeding, File No. 3-10098 450 5th Street Washington DC 20549 Alex Brown & Sons, Inc. Debt - Government OIP alleged violations of Section 17(a) of the Securities Act of 1993, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder for incomplete disclosures of a fee splitting arrangement and false statements about a markup. The SEC, after a hearing on the merits, DISMISSED the proceeding. Decision & Order of Offer Settlement Dismissed Order Initial decision of Administrative Law Judge dismissed the proceedings after a hearing on the merits. Mr. Quinn then submitted an offer of settlement agreeing to not seek his legal fees and agreeing to an evidentiary order entered during the proceeding to be vacated. The initial decision of the Administrative Law Judge dismissing the proceedings then became the final decision of the SEC. Y 09-28-2001 This matter involves a Federal income tax lien for the 2021 tax year. The amount due was not resolved until recently and is no longer in dispute, and Mr. Quinn has worked out a payment arrangement with the Internal Revenue Service and has been making payments to the IRS. He anticipates payment being completed by April 2024. Mr. Quinn had filed extensions for the filing of his 2021 returns due to a combination of factors including chronic illness, substantial cost of uninsured repairs to his residence occasioned by Hurricane Ian in September 2022 and protracted analysis by tax accountants resulting in a substantially higher calculation of capital gains tax than had been anticipated 6M 4853367.11 Internal Revenue Service Tax 05-15-2023 Other Civil Court Circuit Court For Queen Anne's County - Civil C-17-JG-23-000112 200 N. Commerce Street Centreville County MD 21617 Internal Revenue Service vs. KEVIN QUINN, et al.