MG
Michael O. Gaddis
JANNEY MONTGOMERY SCOTT LLC
ATLANTA, GA 30326
Some features on this profile are disabled
CRD#: 216262
MG
Professional summary
Michael Owen Gaddis is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Atlanta, Georgia.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Michael has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Peachtree Rd Methodist Church, Atlanta, GA. Board Member (03/2025); review of Investment managers / Allocating funds the church has to charitable causes. Not investment related, not compensated, 1 hour/month.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Owen Gaddis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Owen Gaddis'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
June 19, 2007 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326RIA
BD
CRD#: 463
ATLANTA, GA
Current
June 1, 2007 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326RIA
BD
CRD#: 463
ATLANTA, GA
Past
March 13, 2003 - June 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ALPHARETTA, GA
Past
June 15, 2002 - June 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ALPHARETTA, GA
Past
October 14, 1988 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
December 11, 1985 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
BD
CRD#: 472
Past
July 17, 1984 - December 12, 1985
WILLIAM BLAIR
BD
CRD#: 1252
Past
February 1, 1982 - July 16, 1984
BECKER PARIBAS INCORPORATED
BD
CRD#: 7635
Past
February 22, 1978 - March 2, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Past
September 13, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
BD
CRD#: 514
Past
August 27, 1976 - October 12, 1977
BACHE HALSEY STUART INC.
BD
CRD#: 7238
Past
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
BD
CRD#: 7058
Past
September 2, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
BD
CRD#: 66
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(6/1/2007)
RR
Arizona(1/26/2022)
RR
Arkansas(6/1/2007)
RR
California(6/1/2007)
RR
Colorado(11/30/2021)
RR
District of Columbia(6/6/2025)
RR
Florida(6/1/2007)
RR
Georgia(6/1/2007)
IAR
Georgia(6/19/2007)
RR
Hawaii(5/30/2024)
RR
Illinois(5/29/2025)
RR
Indiana(4/8/2014)
RR
Kentucky(6/1/2007)
RR
Louisiana(4/13/2012)
RR
Maine(9/24/2024)
RR
Maryland(7/18/2025)
RR
Massachusetts(10/23/2025)
RR
Michigan(11/30/2021)
RR
Mississippi(5/1/2023)
RR
New Jersey(2/27/2024)
RR
New York(3/9/2022)
RR
North Carolina(6/1/2007)
RR
Ohio(12/1/2021)
RR
Pennsylvania(11/30/2021)
RR
South Carolina(5/17/2013)
RR
Tennessee(1/2/2014)
RR
Texas(6/1/2007)
IAR
Texas(6/25/2014)
RR
Virginia(4/26/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 6/1/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 8/26/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/29/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
