PH
Peter K. Heger
JANNEY MONTGOMERY SCOTT LLC
Glastonbury, CT 06033
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CRD#: 1349727
PH
Professional summary
Peter Kurt Heger JR, who also goes by Peter Kurt Heger, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Glastonbury, Connecticut.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Peter has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Kurt Heger
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.
Heger Homes LLC, Longmeadow, MA; homes and business purchases. Partner (02/2025). Investment related, not compensated, no active time required.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Kurt Heger JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Kurt Heger JR'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
February 22, 2007 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 180 Glastonbury Blvd. Suite 302, Glastonbury, CT 06033RIA
BD
CRD#: 463
Glastonbury, CT
Current
February 16, 2007 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 180 Glastonbury Blvd. Suite 302, Glastonbury, CT 06033RIA
BD
CRD#: 463
Glastonbury, CT
Past
March 8, 2006 - February 22, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GLASTONBURY, CT
Past
March 8, 2006 - February 22, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GLASTONBURY, CT
Past
July 3, 2001 - March 8, 2006
ADVEST, INC.
RIA
CRD#: 10
GLASTONBURY, CT
Past
June 15, 2001 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
June 26, 2000 - June 19, 2001
WEBSTER INVESTMENT SERVICES, INC.
BD
CRD#: 46588
KENSINGTON, CT
Past
June 30, 1997 - June 23, 2000
MECHANICS INVESTMENT SERVICES, INC.
BD
CRD#: 42738
HARTFORD, CT
Past
December 12, 1994 - July 17, 1997
APEX CLEARING CORPORATION
BD
CRD#: 13071
DALLAS, TX
Past
April 30, 1991 - December 13, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
BD
CRD#: 19418
NEW YORK, NY
Past
June 26, 1989 - April 30, 1991
MABON, NUGENT & CO.
BD
CRD#: 2617
Past
March 19, 1986 - July 5, 1989
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 14, 1985 - January 7, 1986
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Alaska(7/7/2015)
RR
Arizona(1/17/2025)
RR
Arkansas(7/27/2021)
RR
California(2/16/2007)
IAR
California(10/6/2008)
RR
Colorado(2/5/2019)
RR
Connecticut(2/16/2007)
IAR
Connecticut(2/22/2007)
RR
Delaware(3/21/2012)
RR
District of Columbia(8/16/2023)
RR
Florida(2/16/2007)
RR
Georgia(3/12/2007)
RR
Hawaii(2/16/2007)
RR
Illinois(7/18/2024)
RR
Indiana(12/26/2024)
RR
Iowa(11/28/2022)
RR
Kansas(6/13/2023)
RR
Maine(5/3/2023)
RR
Maryland(11/8/2022)
RR
Massachusetts(2/16/2007)
IAR
Massachusetts(2/12/2021)
RR
Minnesota(8/2/2017)
RR
Mississippi(2/16/2007)
RR
Missouri(2/16/2007)
RR
Nevada(8/16/2024)
RR
New Hampshire(8/11/2020)
RR
New Jersey(2/16/2007)
IAR
New Jersey(10/7/2008)
RR
New York(2/16/2007)
RR
North Carolina(6/24/2008)
IAR
North Carolina(9/7/2009)
RR
Ohio(3/19/2007)
IAR
Ohio(10/6/2008)
RR
Oklahoma(8/14/2023)
RR
Pennsylvania(2/16/2007)
RR
Rhode Island(5/20/2014)
RR
South Carolina(5/31/2023)
IAR
Texas(3/14/2007)
RR
Texas(4/17/2015)
RR
Vermont(7/19/2019)
RR
Virginia(2/16/2007)
RR
Washington(7/29/2022)
RR
West Virginia(2/24/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
