Louis M. Fiumara

JANNEY MONTGOMERY SCOTT

Philadelphia, PA 19103

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CRD#: 1748855

Professional summary

Louis Michael Fiumara, who also goes by Louis M Fiumara, is a registered financial professional currently at JANNEY MONTGOMERY SCOTT LLC located in Philadelphia, Pennsylvania.

Louis is registered as a RR (Registered Representative) and started their career in finance in 1989. Louis has worked at 3 firms and has passed the Series 99TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Louis M Fiumara

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis Michael Fiumara's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 20, 2021 - Present

JANNEY MONTGOMERY SCOTT LLC

Office #1: 1717 Arch Street, Philadelphia, PA 19103

RIA

CRD#: 463

Philadelphia, PA

Past

March 21, 2006 - June 2, 2020

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Past

August 14, 1989 - March 24, 2000

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/20/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/2/2006

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JANNEY MONTGOMERY SCOTT WRAP FEE DISCLOSURE BROCHURE (1/12/2026)

JANNEY MONTGOMERY SCOTT INVESTMENT MANAGEMENT DISCLOSURE BROCHURE (1/12/2026)

Direct owners and executive officers

Name	Position	CRD#
JUNE PURCHASER LLC	OWNER
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	Cover Page	Report
03/21/2025	Cover Page	Report
10/09/2024	Cover Page	Report
10/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Louis M. Fiumara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis Michael Fiumara's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESTERS FINANCIAL SERVICES, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Primary Firm SEC Registration

JANNEY MONTGOMERY SCOTT LLC

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 3/20/2006

Series 26

Date: 5/2/2006

FINRA

Current Firm

JANNEY MONTGOMERY SCOTT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

JANNEY MONTGOMERY SCOTT LLC

TRUST BUT VERIFY

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