Julianna Conlan
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.
Julianna Conlan, who also goes by Jules Conlan, Anne Previti, Juli Previti, Julianna Previti, was a registered financial professional .
Julianna is a previously registered financial professional and started their career in finance in 1995. Julianna had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2022 - July 9, 2024
JANNEY MONTGOMERY SCOTT LLC
August 22, 2022 - July 9, 2024
JANNEY MONTGOMERY SCOTT LLC
January 8, 2014 - August 4, 2022
VANGUARD MARKETING CORPORATION
June 1, 2009 - February 16, 2012
MORGAN STANLEY
June 1, 2009 - February 16, 2012
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 12, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
September 12, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
July 28, 2004 - August 18, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 18, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 4, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 9, 2002 - May 8, 2002
RBC CAPITAL MARKETS, LLC
February 23, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
September 10, 1996 - April 30, 1999
MORGAN STANLEY DW INC.
December 21, 1995 - August 12, 1996
CETERA INVESTMENT SERVICES LLC
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
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.
