Louis W. English
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.
Louis William English, who also goes by Louis William English, Louis English, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1989. Louis had worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2024 - January 16, 2026
JANNEY MONTGOMERY SCOTT LLC
October 12, 2017 - June 6, 2024
ROBERT W. BAIRD & CO. INCORPORATED
August 6, 2015 - October 16, 2017
LOOP CAPITAL MARKETS LLC
April 18, 2006 - August 21, 2015
WILLIAM BLAIR
November 3, 2003 - April 26, 2006
MESIROW FINANCIAL, INC.
July 16, 1996 - November 17, 2003
ROBERT W. BAIRD & CO. INCORPORATED
June 17, 1996 - July 9, 1996
ROBERT W. BAIRD & CO. INCORPORATED
August 23, 1994 - July 30, 1996
RODMAN & RENSHAW INC.
November 12, 1993 - August 26, 1994
LASALLE FINANCIAL SERVICES, INC.
October 12, 1990 - October 30, 1993
RODMAN & RENSHAW INC.
August 22, 1989 - November 15, 1990
TAMARON INVESTMENTS, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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 | |
| 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.
