James C. Bryant
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.
James Christopher Bryant, who also goes by Chris Bryant, Christopher Bryant, James C Bryant, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 31, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2024 - November 11, 2024
JANNEY MONTGOMERY SCOTT LLC
June 6, 2018 - June 4, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
June 6, 2018 - June 4, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
November 12, 2014 - May 30, 2018
OPPENHEIMER & CO. INC.
November 12, 2014 - May 30, 2018
OPPENHEIMER & CO. INC.
April 14, 2014 - November 17, 2014
BB&T SECURITIES, LLC
March 31, 2014 - November 17, 2014
BB&T SECURITIES, LLC
November 25, 2013 - April 14, 2014
OSAIC FA, INC.
November 11, 2013 - April 14, 2014
OSAIC FA, INC.
June 1, 2009 - December 21, 2011
MORGAN STANLEY
June 1, 2009 - December 21, 2011
MORGAN STANLEY
March 26, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 29, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 5, 1994 - April 12, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
October 29, 1990 - December 15, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 29, 1990 - November 1, 1990
J.C. BRADFORD & CO.
November 17, 1987 - April 5, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 8, 1986 - January 1, 1988
E. F. HUTTON & COMPANY 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
Series 7TO
Date: 2/17/2024
General Securities Representative ExaminationSeries 8
Date: 4/2/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
