Richard J. Franchella
Professional summary
Richard Joseph Franchella, who also goes by Richard J. Franchella, Richard Joseph Franchella Sr, Richard Joseph Franchella, Richard Franchella, is a registered financial professional currently at JANNEY MONTGOMERY SCOTT LLC located in Darien, Connecticut.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Joseph Franchella's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 800 Post Road 2nd Floor, Darien, CT 06820September 13, 2021 - September 22, 2023
WEDBUSH SECURITIES INC.
March 25, 2021 - September 27, 2021
LPL FINANCIAL LLC
July 31, 2013 - September 20, 2019
MORGAN STANLEY
December 16, 2011 - September 20, 2019
MORGAN STANLEY
September 7, 2005 - October 12, 2011
RBC CAPITAL MARKETS, LLC
May 24, 2004 - September 13, 2005
LEGG MASON WOOD WALKER, INCORPORATED
July 1, 2003 - July 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 19, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1988 - April 14, 1997
UBS FINANCIAL SERVICES INC.
March 21, 1984 - March 15, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
(12/8/2025)
(12/8/2025)
(12/5/2025)
Exams
Series 99TO
Date: 2/17/2023
Operations Professional ExaminationSeries 8
Date: 12/17/1990
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq Stock Market
New York Stock Exchange
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 | |
| 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.
