Thomas Wittschen
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.
Thomas Wittschen was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 14 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2013 - May 27, 2016
JANNEY MONTGOMERY SCOTT LLC
September 28, 2009 - July 5, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 13, 2009 - September 17, 2009
SAMCO CAPITAL MARKETS, INC.
January 7, 2005 - May 7, 2009
FHN FINANCIAL SECURITIES CORP.
June 7, 2004 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
November 1, 2003 - June 1, 2004
BMO CAPITAL MARKETS CORP.
June 14, 1996 - November 1, 2003
HARRIS NESBITT CORP.
April 1, 1996 - May 1, 1996
J.P. MORGAN SECURITIES INC.
May 3, 1994 - April 1, 1996
CHASE SECURITIES, INC.
March 11, 1993 - May 12, 1994
KEYBANC CAPITAL MARKETS INC.
March 18, 1991 - October 21, 1991
HSBC SECURITIES (USA) INC.
November 29, 1989 - February 25, 1991
DEUTSCHE BANK CAPITAL CORPORATION
September 18, 1989 - February 12, 1991
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
May 25, 1983 - October 12, 1989
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 55
Date: 9/24/1999
Limited Representative-Equity Trader ExamCurrent 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.
