MJ
Mark Johnson
JANNEY MONTGOMERY SCOTT LLC
ALBANY, NY 12211
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CRD#: 1216677
MJ
Professional summary
Mark Johnson is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Albany, New York.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1)Name of Business: Johnson Wealth Management Address: 677 Broadway Fl 12, Albany, NY, 12207, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 09/22/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor (2)Name of Business: steward partners global advisory Address: 677 Broadway Fl 12, Albany, NY, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: No Start Date: 01/03/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: install insurance products listed (3)Name of Business: steward partners global advisory Address: 677 Broadway Fl 12, Albany, NY, United States Activity Type: Support Company - Non Owner Position/Title: Investment Related: No Start Date: 09/22/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: wealth management (4)Name of Business: Steward Partners Investment Advisory LLC Address: 677 Broadway Fl 12, Albany, NY, United States Activity Type: Independent RIA Position/Title: Investment Related: No Start Date: 09/22/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: provide advisory services
CRS (Client Relationship Summary) - RIA
Click below to view Mark Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Johnson'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
February 15, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 22 Corporate Woods Boulevard 4th Floor, Albany, NY 12211RIA
BD
CRD#: 463
ALBANY, NY
Current
February 15, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 22 Corporate Woods Boulevard 4th Floor, Albany, NY 12211RIA
BD
CRD#: 463
ALBANY, NY
Past
May 27, 2022 - February 27, 2024
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 1254
ALBANY, NY
Past
November 28, 2016 - February 27, 2024
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RIA
CRD#: 283004
ALBANY, NY
Past
September 22, 2016 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ALBANY, NY
Past
November 4, 2010 - September 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SARATOGA SPRINGS, NY
Past
August 7, 2008 - September 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SARATOGA SPRINGS, NY
Past
April 2, 2007 - August 11, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
AMSTERDAM, NY
Past
July 2, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
AMSTERDAM, NY
Past
July 2, 1985 - July 14, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 21, 1983 - July 29, 1985
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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(8/21/2025)
RR
Arizona(2/15/2024)
RR
Arkansas(10/17/2025)
RR
California(10/3/2025)
RR
Colorado(3/14/2024)
RR
Connecticut(2/15/2024)
RR
Florida(2/15/2024)
RR
Hawaii(2/15/2024)
RR
Illinois(2/15/2024)
RR
Maryland(2/15/2024)
RR
Massachusetts(2/16/2024)
RR
Michigan(2/15/2024)
RR
Nevada(2/15/2024)
RR
New Hampshire(2/27/2024)
RR
New Jersey(2/15/2024)
RR
New Mexico(2/15/2024)
RR
New York(2/15/2024)
IAR
New York(2/15/2024)
RR
North Carolina(3/5/2024)
RR
Ohio(2/15/2024)
RR
Pennsylvania(3/25/2025)
RR
Rhode Island(3/20/2024)
RR
South Carolina(3/5/2024)
RR
Tennessee(2/28/2024)
RR
Texas(2/15/2024)
IAR
Texas(2/15/2024)
RR
Vermont(2/15/2024)
RR
Virginia(2/15/2024)
RR
West Virginia(2/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
