FS
Frank J. Subasic
JANNEY MONTGOMERY SCOTT
Mt. Pleasant, SC 29464
CRD#: 2169152
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FS
Frank Joseph SubasicJANNEY MONTGOMERY SCOTT
Professional summary
Frank Joseph Subasic, who also goes by Frank J Subasic Jr, Frank Joseph Subasic Jr, Frank J Subasic Jr Jr, Frank J Subasic Jr. Jr, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Mt. Pleasant, South Carolina.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Frank has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank J Subasic Jr | Frank Joseph Subasic Jr | Frank J Subasic Jr Jr | Frank J Subasic Jr. 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Joseph Subasic's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Joseph Subasic'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
January 26, 2026 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 111 Coleman Blvd Suite 403, Mt. Pleasant, SC 29464Office #2: 1831 W Evans Street Ste. 220, Florence, SC 29501Office #3: 1441 Main Street Suite 700, Columbia, SC 29201Office #4: 401 Park Avenue Sw Suite B, Aiken, SC 29801RIA
BD
CRD#: 463
Mt. Pleasant, SC
Current
January 26, 2026 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 111 Coleman Blvd Suite 403, Mt. Pleasant, SC 29464Office #2: 1831 W Evans Street Ste. 220, Florence, SC 29501Office #3: 1441 Main Street Suite 700, Columbia, SC 29201Office #4: 401 Park Avenue Sw Suite B, Aiken, SC 29801RIA
BD
CRD#: 463
Mt. Pleasant, SC
Past
September 5, 2018 - September 6, 2018
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
RALEIGH, NC
Past
September 4, 2018 - September 6, 2018
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, NC
Past
July 28, 2010 - January 27, 2026
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLESTON, SC
Past
July 28, 2010 - January 27, 2026
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLESTON, SC
Past
February 23, 2010 - July 26, 2010
MORGAN STANLEY
RIA
CRD#: 149777
COLUMBIA, SC
Past
February 22, 2010 - July 26, 2010
MORGAN STANLEY
BD
CRD#: 149777
COLUMBIA, SC
Past
June 1, 2009 - September 28, 2009
MORGAN STANLEY
BD
CRD#: 149777
SCRANTON, PA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SCRANTON, PA
Past
June 17, 1996 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SCRANTON, PA
Past
September 27, 1991 - December 21, 1992
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
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(1/26/2026)
RR
Arkansas(1/26/2026)
RR
California(1/26/2026)
RR
Colorado(1/26/2026)
RR
Connecticut(1/26/2026)
RR
Delaware(1/26/2026)
RR
Florida(1/26/2026)
RR
Georgia(1/26/2026)
RR
Illinois(1/26/2026)
RR
Kentucky(1/26/2026)
RR
Louisiana(1/26/2026)
RR
Maryland(1/26/2026)
RR
Massachusetts(1/27/2026)
RR
Michigan(1/26/2026)
RR
Missouri(1/26/2026)
RR
Montana(1/26/2026)
RR
Nevada(1/26/2026)
RR
New Jersey(1/26/2026)
RR
New York(1/26/2026)
IAR
North Carolina(1/26/2026)
RR
North Carolina(2/9/2026)
RR
Ohio(1/26/2026)
RR
Oklahoma(1/26/2026)
RR
Oregon(1/26/2026)
RR
Pennsylvania(1/26/2026)
IAR
Pennsylvania(1/26/2026)
RR
South Carolina(1/26/2026)
IAR
South Carolina(1/26/2026)
RR
Tennessee(1/26/2026)
RR
Texas(1/26/2026)
IAR
Texas(1/26/2026)
RR
Utah(1/26/2026)
RR
Vermont(1/26/2026)
RR
Virginia(1/26/2026)
RR
Washington(1/26/2026)
RR
Wisconsin(1/26/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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 | |
| 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.
