Brendan C. Shanahan
Professional summary
Brendan Charles Shanahan, who also goes by Brendan Shanahan, is a registered financial professional currently at JANNEY MONTGOMERY SCOTT LLC located in New York, New York.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 1984. Brendan has worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brendan Charles Shanahan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2011 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1166 Avenue Of The Americas, New York, NY 10036Office #2: 100 Motor Parkway Suite 590, Hauppauge, NY 11788January 16, 2007 - April 5, 2011
KEYBANC CAPITAL MARKETS INC.
November 7, 2005 - December 12, 2006
RYAN BECK & CO.
July 27, 2004 - November 2, 2005
LEGG MASON WOOD WALKER, INCORPORATED
May 2, 2000 - July 21, 2004
PRAGER & CO., LLC
March 2, 1998 - March 9, 2000
RBC CAPITAL MARKETS, LLC
July 16, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
October 25, 1996 - June 6, 1997
A. F. BEST SECURITIES, INC.
December 4, 1992 - October 3, 1996
WELLS FARGO CLEARING SERVICES, LLC
November 16, 1990 - August 25, 1992
CIBC WORLD MARKETS CORP.
July 26, 1984 - October 30, 1990
MORGAN STANLEY DW 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
(4/13/2011)
(3/7/2025)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative 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.
