JH
James P. Horgan
JANNEY MONTGOMERY SCOTT LLC
Purchase, NY 10577
Some features on this profile are disabled
CRD#: 1104881
JH
Professional summary
James Patrick Horgan is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Purchase, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7, Series 10, Series 9, Series 24, Series 27 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Horgan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Horgan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 29, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: One Manhattanville Road Suite 402, Purchase, NY 10577RIA
BD
CRD#: 463
Purchase, NY
Current
July 29, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: One Manhattanville Road Suite 402, Purchase, NY 10577RIA
BD
CRD#: 463
Purchase, NY
Past
May 1, 2010 - April 5, 2024
MORGAN STANLEY
RIA
CRD#: 149777
New York, NY
Past
March 31, 2010 - April 5, 2024
MORGAN STANLEY
BD
CRD#: 149777
New York, NY
Past
June 1, 1999 - May 20, 2008
MURIEL SIEBERT & CO., LLC
BD
CRD#: 5376
JERSEY CITY, NJ
Past
November 29, 1985 - June 25, 1999
ANDREW PECK ASSOCIATES INC.
BD
CRD#: 7957
JERSEY CITY, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/29/2024)
RR
Alaska(7/29/2024)
RR
Arizona(7/29/2024)
RR
Arkansas(7/29/2024)
RR
California(7/29/2024)
RR
Colorado(7/29/2024)
RR
Connecticut(7/29/2024)
RR
Delaware(7/29/2024)
RR
District of Columbia(7/29/2024)
RR
Florida(7/29/2024)
RR
Georgia(7/29/2024)
RR
Hawaii(7/29/2024)
RR
Idaho(7/29/2024)
RR
Illinois(7/29/2024)
RR
Indiana(7/29/2024)
RR
Iowa(7/29/2024)
RR
Kansas(7/29/2024)
RR
Kentucky(7/29/2024)
RR
Louisiana(7/29/2024)
RR
Maine(7/29/2024)
RR
Maryland(7/29/2024)
RR
Massachusetts(7/29/2024)
RR
Michigan(7/29/2024)
RR
Minnesota(7/29/2024)
RR
Mississippi(7/29/2024)
RR
Missouri(7/29/2024)
RR
Montana(7/29/2024)
RR
Nebraska(7/29/2024)
RR
Nevada(7/29/2024)
RR
New Hampshire(7/29/2024)
RR
New Jersey(7/29/2024)
IAR
New Jersey(7/30/2024)
RR
New Mexico(7/29/2024)
RR
New York(7/29/2024)
IAR
New York(7/29/2024)
RR
North Carolina(7/31/2024)
RR
North Dakota(7/29/2024)
RR
Ohio(7/30/2024)
RR
Oklahoma(7/29/2024)
RR
Oregon(7/29/2024)
RR
Pennsylvania(7/29/2024)
RR
Puerto Rico(7/29/2024)
RR
Rhode Island(7/29/2024)
RR
South Carolina(7/29/2024)
RR
South Dakota(7/29/2024)
RR
Tennessee(7/29/2024)
RR
Texas(7/29/2024)
IAR
Texas(7/29/2024)
RR
Utah(7/29/2024)
RR
Vermont(7/29/2024)
RR
Virgin Islands(7/29/2024)
RR
Virginia(7/29/2024)
RR
Washington(7/29/2024)
RR
West Virginia(7/29/2024)
RR
Wisconsin(7/29/2024)
RR
Wyoming(7/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/29/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
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.
