Andrew Caccioppoli

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CRD#: 1178814

Professional summary

Andrew Caccioppoli was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andrew is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Andrew had worked at 2 firms, which includes JANNEY MONTGOMERY SCOTT LLC, WEDBUSH SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Joseph Caccioppoli

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 10, 1992 - August 8, 2005

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

January 6, 1989 - November 30, 1991

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JANNEY MONTGOMERY SCOTT WRAP FEE DISCLOSURE BROCHURE (10/3/2025)

JANNEY MONTGOMERY SCOTT INVESTMENT MANAGEMENT DISCLOSURE BROCHURE (10/3/2025)

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	Cover Page	Report
03/21/2025	Cover Page	Report
10/09/2024	Cover Page	Report
10/26/2023	Cover Page	Report

Red Flags

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Andrew Caccioppoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

WEDBUSH SECURITIES INC.

Primary Firm SEC Registration

JANNEY MONTGOMERY SCOTT LLC

State Registrations and Notice Filings

Exams

Current Firm

JANNEY MONTGOMERY SCOTT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

JANNEY MONTGOMERY SCOTT LLC

TRUST BUT VERIFY

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