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Kenneth J. Byrne

Some features on this profile are disabled
CRD#: 1191939
KB

Professional summary

Kenneth John Byrne was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Kenneth had worked at 3 firms, which includes JANNEY MONTGOMERY SCOTT LLC, MONARCH FINANCIAL CORPORATION OF AMERICA, STOEVER GLASS & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

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

February 25, 2008 - July 21, 2021

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
GARDEN CITY, NY
Past

January 10, 2003 - July 21, 2021

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
GARDEN CITY, NY
Past

January 5, 1994 - January 17, 2003

MONARCH FINANCIAL CORPORATION OF AMERICA

BD
CRD#: 23437
NEW YORK, NY
Past

November 14, 1983 - November 24, 1993

STOEVER, GLASS & COMPANY INC.

BD
CRD#: 7031
NEW YORK, NY

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 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1984
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 11/9/1983
Municipal Securities Representative Examination

Current Firm

JANNEY MONTGOMERY SCOTT LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
JUNE PURCHASER LLCOWNER
CULLEY, JOSEPH DAVIDBANKING PRINCIPAL (BP)4275987
DOWNEY, DANEEN ELIZABETHDEPUTY GENERAL COUNSEL4758790
FUSCO, CHRISTOPHERROSFP5858082
HALL, CAROLINE KATHRYNECHIEF COMPLIANCE OFFICER6342772
HRICKO, MICHAEL JCHIEF FINANCIAL OFFICER4509746
LEMPA, JESSICA ELLENIA CCO5276453
MCSHEA, GREGORY BURNSGENERAL COUNSEL2870963
MILLER, ANTHONY MATTHEWDIRECTOR, PRESIDENT AND CEO4597116
MULLAN, DAVID MICHAELPRINCIPAL OPERATIONS OFFICER2739186
REED, KEVIN JUDEEXECUTIVE OFFICER2105832
RIGGI, BRETT STEPHANCHIEF OPERATING OFFICER4462496

Regulatory assets under management

Total Number of Accounts239,256
AUM (Assets Under Management)$ 100,795,564,390

Disclosures

Regulatory Event54
Arbitration66
Bond1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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

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

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

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