Daniel R. Hoover
Professional summary
Daniel Raymond Hoover is a registered financial professional currently at JANNEY MONTGOMERY SCOTT LLC located in Philadelphia, Pennsylvania.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1984. Daniel has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Raymond Hoover's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 30, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1717 Arch Street, Philadelphia, PA 19103December 7, 2015 - September 11, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
November 25, 2009 - December 31, 2009
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
January 26, 2005 - June 30, 2008
METROPOLITAN WEST SECURITIES, LLC
May 1, 2000 - July 19, 2004
FORESIDE FUNDS DISTRIBUTORS LLC
January 19, 1999 - May 2, 2000
PROFESSIONAL FUND DISTRIBUTORS CORP.
November 22, 1995 - February 20, 1997
PNC BROKERAGE CORP
September 30, 1993 - June 8, 1995
DEUTSCHE BANK SECURITIES INC.
January 13, 1993 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
October 7, 1988 - January 12, 1993
NF CLEARING, INC.
February 24, 1988 - August 1, 1988
ARTHURS, LESTRANGE & COMPANY INCORPORATED
July 31, 1984 - May 21, 1986
ARTHURS, LESTRANGE & COMPANY 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
Exams
Series 99TO
Date: 8/25/2023
Operations Professional ExaminationFINRA
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 | |
| 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.
