Robert G. Hurley
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.
Robert G Hurley, who also goes by Robert George Hurley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 18 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2022 - January 30, 2026
JANNEY MONTGOMERY SCOTT LLC
June 11, 2018 - July 28, 2022
BOENNING & SCATTERGOOD, INC.
June 2, 2017 - June 12, 2018
STONECREST CAPITAL MARKETS, INC.
November 12, 2013 - May 17, 2017
FIG PARTNERS, LLC
March 28, 2007 - October 14, 2013
STERNE, AGEE & LEACH, INC.
October 31, 2005 - April 5, 2007
GLEACHER & COMPANY SECURITIES, INC.
June 28, 2005 - October 10, 2005
STERNE, AGEE & LEACH, INC.
December 7, 2001 - June 16, 2005
HILLTOP SECURITIES INC.
September 21, 2001 - September 21, 2001
SANDLER, O'NEILL & PARTNERS, L.P.
November 1, 1999 - September 20, 2001
TUCKER ANTHONY INCORPORATED
November 5, 1998 - November 1, 1999
CLEARY GULL INC.
July 20, 1998 - August 27, 1998
STEPHENS
March 15, 1998 - July 30, 1998
GS2 SECURITIES, INC.
January 2, 1997 - September 25, 1997
HARRIS NESBITT CORP.
July 28, 1994 - November 29, 1996
THE CHICAGO CORPORATION
September 18, 1991 - July 21, 1994
KEYBANC CAPITAL MARKETS INC.
July 9, 1987 - May 9, 1991
ROBERT W. BAIRD & CO. INCORPORATED
October 29, 1986 - May 7, 1987
CARL MARKS & CO., INC.
May 24, 1985 - October 8, 1986
OBERWEIS SECURITIES, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/23/1999
Limited Representative-Equity Trader ExamCurrent 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.
