Jacqueline Reich
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.
Jacqueline Reich, who also goes by Jackie Reich, Jacqueline Dietrich Reich, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 1985. Jacqueline had worked at 10 firms and has passed the 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
May 8, 2015 - February 4, 2021
JANNEY MONTGOMERY SCOTT LLC
May 8, 2015 - February 4, 2021
JANNEY MONTGOMERY SCOTT LLC
February 27, 2004 - May 28, 2015
RBC CAPITAL MARKETS, LLC
February 27, 2004 - May 28, 2015
RBC CAPITAL MARKETS, LLC
January 7, 2002 - February 27, 2004
WILLIAM R. HOUGH & CO.
January 7, 2002 - February 27, 2004
WILLIAM R. HOUGH & CO.
April 14, 1997 - January 7, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 8, 1996 - April 14, 1997
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 1995 - March 11, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 9, 1994 - February 23, 1995
GROVE POINT INVESTMENTS, LLC
October 3, 1992 - April 20, 1994
RAYMOND JAMES & ASSOCIATES, INC.
March 23, 1992 - September 29, 1992
FIRST UNION BROKERAGE SERVICES, INC.
February 7, 1989 - December 31, 1990
OSAIC FS, INC.
January 23, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 23, 1985 - June 24, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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.
