John W. Baker
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.
John William Baker, who also goes by John W Baker, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2007 - May 2, 2023
JANNEY MONTGOMERY SCOTT LLC
February 16, 2007 - May 2, 2023
JANNEY MONTGOMERY SCOTT LLC
March 8, 2006 - February 22, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - February 22, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 2001 - March 8, 2006
ADVEST, INC.
July 6, 2001 - March 8, 2006
ADVEST, INC.
June 26, 2000 - July 9, 2001
WEBSTER INVESTMENT SERVICES, INC.
June 30, 1997 - June 23, 2000
MECHANICS INVESTMENT SERVICES, INC.
December 12, 1994 - July 17, 1997
APEX CLEARING CORPORATION
April 30, 1991 - December 13, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
July 30, 1990 - April 30, 1991
MABON, NUGENT & CO.
November 3, 1987 - August 3, 1990
MORGAN STANLEY DW INC.
November 19, 1985 - November 30, 1987
E. F. HUTTON & COMPANY INC
August 21, 1984 - October 21, 1985
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
Exams
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.
