DP
David S. Penn
JANNEY MONTGOMERY SCOTT LLC
Bryn Mawr, PA 19010
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CRD#: 1284964
DP
Professional summary
David Stuart Penn is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Bryn Mawr, Pennsylvania.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 51, Series 9, Series 10 and Series 24 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.
OCEAN VILLAGE HOMEOWNERS ASSOCIATION; NOT INVESTMENT RELATED; POSTION: TREASURER; DUTIES: GENERAL - I WILL NOT BE WRITING ANY CHECKS OR MANAGING THE FUNDS OF THE ASSOCIATION. WE HAVE A MANAGEMENT COMPANY PERFORMING THOSE FUNCTIONS; DEVOTES: 1 HOUR/MONTH; NOT COMPENSATED.
CRS (Client Relationship Summary) - RIA
Click below to view David Stuart Penn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Stuart Penn'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
May 12, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 40 Morris Avenue Suite 200, Bryn Mawr, PA 19010Office #2: 8950 Sw 74 Court Suite 2005, Miami, FL 33156RIA
BD
CRD#: 463
Bryn Mawr, PA
Current
May 11, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 40 Morris Avenue Suite 200, Bryn Mawr, PA 19010Office #2: 8950 Sw 74 Court Suite 2005, Miami, FL 33156RIA
BD
CRD#: 463
Bryn Mawr, PA
Past
October 3, 2008 - May 7, 2009
FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC
RIA
CRD#: 142219
BALTIMORE, MD
Past
May 29, 2007 - May 7, 2009
CLEARBRIDGE INVESTMENTS, LLC
RIA
CRD#: 137028
NEW YORK, NY
Past
May 29, 2007 - May 7, 2009
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
SAN MATEO, CA
Past
December 8, 2005 - June 14, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
December 8, 2005 - June 14, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 29, 1992 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
BALTIMORE, MD
Past
November 3, 1987 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
BD
CRD#: 2
Past
October 26, 1984 - October 31, 1987
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
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(7/9/2019)
RR
Arizona(8/14/2014)
RR
California(8/14/2014)
IAR
California(5/13/2025)
RR
Colorado(8/14/2014)
RR
Connecticut(8/14/2014)
RR
Delaware(8/14/2014)
IAR
Delaware(3/8/2023)
RR
District of Columbia(9/17/2019)
RR
Florida(8/14/2014)
IAR
Florida(4/3/2023)
RR
Georgia(8/14/2014)
RR
Illinois(8/14/2014)
RR
Indiana(11/30/2021)
RR
Kansas(1/4/2019)
RR
Maine(8/14/2014)
RR
Maryland(5/11/2009)
RR
Massachusetts(8/14/2014)
RR
Michigan(8/14/2014)
RR
Minnesota(5/2/2018)
RR
Montana(7/18/2019)
RR
New Hampshire(8/14/2014)
RR
New Jersey(8/14/2014)
IAR
New Jersey(5/13/2025)
RR
New Mexico(2/8/2019)
RR
New York(5/11/2009)
RR
North Carolina(8/14/2014)
RR
North Dakota(4/25/2021)
RR
Ohio(2/26/2018)
RR
Oregon(8/1/2022)
RR
Pennsylvania(5/11/2009)
IAR
Pennsylvania(5/12/2009)
RR
Rhode Island(11/6/2025)
RR
South Carolina(8/14/2014)
RR
Tennessee(8/14/2014)
RR
Texas(8/14/2014)
IAR
Texas(8/14/2014)
RR
Utah(12/17/2014)
RR
Vermont(2/28/2023)
RR
Virginia(8/14/2014)
RR
Washington(8/14/2014)
RR
West Virginia(4/9/2024)
RR
Wisconsin(4/12/2022)
RR
Wyoming(8/14/2014)
IAR
Wyoming(5/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
