Steven A. Napier
Professional summary
Steven Archie Napier, who also goes by Steve Napier, Steven Napier, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Atlanta, Georgia.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 14 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Archie Napier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Archie Napier's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326January 27, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326February 17, 2021 - January 27, 2022
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - January 27, 2022
TRUIST INVESTMENT SERVICES, INC.
November 7, 2017 - February 17, 2021
BB&T SECURITIES, LLC
November 2, 2017 - February 17, 2021
BB&T SECURITIES, LLC
October 8, 2010 - December 1, 2017
MORGAN STANLEY
September 28, 2010 - December 1, 2017
MORGAN STANLEY
February 2, 2007 - September 29, 2010
MORGAN KEEGAN & COMPANY, LLC
August 12, 2005 - September 29, 2010
MORGAN KEEGAN & COMPANY, LLC
May 30, 2000 - August 18, 2005
LEGG MASON WOOD WALKER, INCORPORATED
April 18, 1997 - June 10, 2000
J.C. BRADFORD & CO.
February 17, 1994 - April 29, 1997
UBS FINANCIAL SERVICES INC.
July 31, 1993 - February 24, 1994
CITIGROUP GLOBAL MARKETS INC.
August 16, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
January 20, 1989 - August 20, 1991
PRUDENTIAL EQUITY GROUP, LLC
October 14, 1988 - January 30, 1989
WACHOVIA SECURITIES, INC.
February 6, 1987 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
October 30, 1985 - March 2, 1987
MORGAN KEEGAN & COMPANY, LLC
May 23, 1985 - November 6, 1985
UBS FINANCIAL SERVICES 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
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
New York Stock Exchange
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.
