Alan A. Mann
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.
Alan Alroy Mann was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 15, Series 5, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2009 - January 11, 2022
JANNEY MONTGOMERY SCOTT LLC
March 5, 2009 - January 10, 2022
JANNEY MONTGOMERY SCOTT LLC
December 4, 2002 - March 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - March 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 16, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
February 13, 2001 - March 14, 2001
JOSEPHTHAL & CO., INC.
June 11, 1996 - February 20, 2001
MARION BASS SECURITIES CORPORATION
September 18, 1989 - June 12, 1996
LEGG MASON WOOD WALKER, INCORPORATED
August 25, 1989 - September 23, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 16, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
October 11, 1988 - January 18, 1989
LEHMAN BROTHERS INC.
August 4, 1986 - September 19, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
January 19, 1983 - August 11, 1986
THOMSON MCKINNON SECURITIES 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 15
Date: 11/18/1983
Foreign Currency Options ExaminationSeries 5
Date: 9/30/1983
Interest Rate Options ExaminationCurrent 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.
