Roseann (. Chavanne
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.
Roseann (nmn) Chavanne, who also goes by Roseann Amato, Roseann T Chavanne, was a registered financial professional .
Roseann is a previously registered financial professional and started their career in finance in 1983. Roseann had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 3, Series 15, Series 7, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2017 - March 29, 2019
JANNEY MONTGOMERY SCOTT LLC
October 25, 2017 - March 29, 2019
JANNEY MONTGOMERY SCOTT LLC
November 2, 2015 - October 13, 2017
BOENNING & SCATTERGOOD, INC.
November 2, 2015 - October 13, 2017
BOENNING & SCATTERGOOD, INC.
June 14, 2011 - November 30, 2015
JANNEY MONTGOMERY SCOTT LLC
June 14, 2011 - November 30, 2015
JANNEY MONTGOMERY SCOTT LLC
May 7, 2010 - June 8, 2011
GROVE POINT INVESTMENTS, LLC
April 29, 2010 - June 8, 2011
GROVE POINT INVESTMENTS, LLC
August 1, 2008 - November 4, 2008
NATIONWIDE SECURITIES, LLC
August 1, 2008 - November 4, 2008
NATIONWIDE SECURITIES, LLC
February 14, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
August 11, 2006 - August 25, 2006
NATIONWIDE SECURITIES, LLC
April 25, 2003 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
May 18, 1999 - April 16, 2003
UBS FINANCIAL SERVICES INC.
July 15, 1998 - December 16, 1998
PROFESSIONAL FUND DISTRIBUTORS CORP.
July 31, 1993 - September 7, 1996
CITIGROUP GLOBAL MARKETS INC.
October 19, 1983 - July 31, 1993
LEHMAN BROTHERS 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 5
Date: 4/4/1988
Interest Rate Options ExaminationSeries 15
Date: 1/2/1986
Foreign Currency Options ExaminationSeries 8
Date: 2/15/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
