Sherrill A. Caprio
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.
Sherrill A Caprio, who also goes by Sherrill Ann Caprio, Sherrill Hines Caprio, Sherrill Caprio, Sherrill Ann Hines, was a registered financial professional .
Sherrill is a previously registered financial professional and started their career in finance in 1988. Sherrill had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE 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
December 20, 2018 - May 28, 2019
JANNEY MONTGOMERY SCOTT LLC
November 5, 2018 - May 28, 2019
JANNEY MONTGOMERY SCOTT LLC
October 19, 2018 - October 22, 2018
JANNEY MONTGOMERY SCOTT LLC
July 11, 2012 - October 17, 2018
UBS FINANCIAL SERVICES INC.
April 23, 2012 - October 17, 2018
UBS FINANCIAL SERVICES INC.
May 8, 2008 - December 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 6, 2008 - December 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2007 - April 21, 2008
UBS FINANCIAL SERVICES INC.
February 8, 2007 - April 21, 2008
UBS FINANCIAL SERVICES INC.
October 10, 2005 - February 12, 2007
MORGAN STANLEY DW INC.
October 7, 2005 - February 12, 2007
MORGAN STANLEY DW INC.
December 6, 2004 - December 12, 2005
FNB BROKERAGE SERVICES, INC.
April 6, 2004 - December 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 6, 2004 - December 8, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 11, 2003 - April 5, 2004
MORGAN STANLEY DW INC.
April 2, 1999 - April 5, 2004
MORGAN STANLEY DW INC.
September 1, 1997 - March 2, 1999
DB ALEX. BROWN LLC
October 2, 1992 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
November 23, 1988 - July 1, 1992
LEHMAN BROTHERS 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
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.
