Barbara I. Grass
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Barbara Iona Grass, who also goes by Barbara Iona Batignani, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1982. Barbara had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2013 - May 30, 2023
JANNEY MONTGOMERY SCOTT LLC
April 24, 2013 - May 30, 2023
JANNEY MONTGOMERY SCOTT LLC
June 1, 2009 - May 20, 2013
MORGAN STANLEY
June 1, 2009 - May 20, 2013
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 16, 1994 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
August 16, 1994 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
September 30, 1988 - August 17, 1994
PRUDENTIAL EQUITY GROUP, LLC
February 15, 1988 - November 10, 1988
LEHMAN BROTHERS INC.
July 22, 1982 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 5/17/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
