JB
James A. Bakal
JANNEY MONTGOMERY SCOTT LLC
Darien, CT 06820
Some features on this profile are disabled
CRD#: 2082866
JB
Professional summary
James Alexander Bakal JR, who also goes by Jim Bakal Jr, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Darien, Connecticut.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Bakal Jr
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.
Exchange Club of New Canaan, New Canaan, Connecticut; Not Investment Related; Charitable Organization created to exchange time and talent through programs of service around Child Abuse Prevention, Community Service, Youth Projects and Americanism. I was elected by current Board of Directors to become the next President Elect. Term would be 7/1/2021 to 6/30/2022. Not compensated.
CRS (Client Relationship Summary) - RIA
Click below to view James Alexander Bakal JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Alexander Bakal 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
September 27, 2007 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 800 Post Road 2nd Floor, Darien, CT 06820RIA
BD
CRD#: 463
Darien, CT
Current
September 27, 2007 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 800 Post Road 2nd Floor, Darien, CT 06820RIA
BD
CRD#: 463
Darien, CT
Past
May 6, 2002 - October 23, 2007
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
STAMFORD, CT
Past
March 9, 2002 - October 23, 2007
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
STAMFORD, CT
Past
October 19, 1992 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
June 17, 1991 - October 23, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alabama(8/8/2023)
RR
Arizona(9/19/2023)
RR
Arkansas(9/27/2023)
RR
California(9/27/2007)
IAR
California(9/27/2007)
RR
Colorado(9/27/2007)
IAR
Colorado(3/24/2022)
RR
Connecticut(9/27/2007)
IAR
Connecticut(10/18/2007)
RR
Delaware(9/27/2023)
RR
District of Columbia(1/2/2008)
RR
Florida(9/27/2007)
RR
Georgia(12/4/2023)
RR
Illinois(9/27/2023)
RR
Maine(7/20/2020)
RR
Maryland(9/27/2007)
RR
Massachusetts(9/27/2007)
IAR
Massachusetts(10/23/2023)
RR
Missouri(10/31/2019)
RR
Nevada(11/12/2019)
RR
New Hampshire(6/9/2021)
RR
New Jersey(9/27/2007)
IAR
New Jersey(9/27/2007)
RR
New Mexico(9/27/2007)
RR
New York(9/27/2007)
IAR
New York(1/12/2022)
RR
North Carolina(9/27/2007)
RR
Ohio(9/25/2024)
RR
Pennsylvania(9/27/2007)
RR
Rhode Island(9/27/2023)
RR
South Carolina(8/10/2023)
RR
Tennessee(8/7/2023)
RR
Texas(9/27/2007)
IAR
Texas(4/27/2016)
RR
Utah(2/15/2012)
RR
Vermont(10/17/2018)
IAR
Vermont(1/12/2022)
RR
Virginia(9/27/2023)
RR
Washington(9/27/2023)
RR
Wisconsin(9/27/2023)
RR
Wyoming(5/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
