MO
Michael C. Owen
JANNEY MONTGOMERY SCOTT LLC
Pinehurst, NC 28374
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CRD#: 1146778
MO
Professional summary
Michael Cole Owen, who also goes by Mike Owen, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Pinehurst, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 9 firms and has passed the Series 63, SIE, Series 31, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Owen
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.
Weymoth Center for Arts and Humanities, Southern Pines, NC. Board Member (04/2021) - participate in strategy of the event center and writers in residence program. Not compensated, not investment related, 2 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Cole Owen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Cole Owen'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 19, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 125 Fox Hollow Road Suite 104, Pinehurst, NC 28374Office #2: 4505 Country Club Road Suite 200, Winston-salem, NC 27104RIA
BD
CRD#: 463
Pinehurst, NC
Current
July 19, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 125 Fox Hollow Road Suite 104, Pinehurst, NC 28374Office #2: 4505 Country Club Road Suite 200, Winston-salem, NC 27104RIA
BD
CRD#: 463
Pinehurst, NC
Past
February 17, 2021 - July 19, 2022
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
SOUTHERN PINES, NC
Past
December 11, 2019 - July 19, 2022
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
MOUNT PLEASANT, SC
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
January 25, 2001 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
WINSTON-SALEM, NC
Past
May 5, 1999 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
WINSTON-SALEM, NC
Past
December 18, 1995 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
BD
CRD#: 3309
RICHMOND, VA
Past
September 28, 1990 - December 20, 1995
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
May 14, 1988 - October 18, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 21, 1983 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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(7/19/2022)
RR
Arizona(7/19/2022)
RR
Arkansas(7/19/2022)
RR
California(7/19/2022)
RR
Colorado(7/19/2022)
RR
Connecticut(7/19/2022)
RR
District of Columbia(7/19/2022)
RR
Florida(7/19/2022)
RR
Georgia(7/19/2022)
IAR
Georgia(7/22/2022)
RR
Illinois(7/19/2022)
RR
Indiana(4/26/2024)
RR
Kentucky(7/27/2022)
RR
Louisiana(1/3/2025)
RR
Maine(7/8/2025)
RR
Maryland(8/16/2022)
RR
Michigan(7/19/2022)
RR
Mississippi(7/19/2022)
RR
New Hampshire(3/15/2024)
RR
New Jersey(7/19/2022)
RR
New York(7/19/2022)
IAR
North Carolina(7/19/2022)
RR
North Carolina(7/20/2022)
RR
Ohio(7/19/2022)
RR
Oklahoma(7/26/2022)
RR
Pennsylvania(7/19/2022)
RR
South Carolina(7/19/2022)
IAR
South Carolina(7/19/2022)
RR
Tennessee(7/19/2022)
RR
Texas(7/19/2022)
IAR
Texas(7/19/2022)
RR
Virginia(7/21/2022)
IAR
Virginia(7/28/2022)
RR
Washington(7/19/2022)
RR
Wisconsin(7/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/6/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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)
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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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Pinehurst, NC 28374TRUST BUT VERIFY
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