T. J. Gary
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.
T. Jack Gary III, who also goes by Theophilus Jack Gary III, was a registered financial professional .
T. is a previously registered financial professional and started their career in finance in 1970. T. had worked at 10 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 7TO, SIE, Series 31, Series 15, Series 5, Series 1, Series 10, Series 53, Series 9, Series 24, Series 12, Series 27, Series 4 and Series 40 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2020 - July 8, 2026
JANNEY MONTGOMERY SCOTT LLC
June 12, 2020 - July 8, 2026
JANNEY MONTGOMERY SCOTT LLC
May 30, 1995 - June 22, 2020
RAYMOND JAMES & ASSOCIATES, INC.
May 30, 1995 - June 22, 2020
RAYMOND JAMES & ASSOCIATES, INC.
October 22, 1991 - June 2, 1995
COMPULIFE INVESTOR SERVICES, INC.
February 28, 1991 - September 13, 1991
WILLIAMS SECURITIES GROUP, INC.
June 3, 1988 - June 7, 1995
CROWN FINANCIAL ASSOCIATES, INC.
February 16, 1988 - May 11, 1988
SOUTHEAST BANK BROKERAGE SERVICE, INC.
June 23, 1986 - February 16, 1988
PALM BEACH CAPITAL SERVICES, INC.
September 12, 1978 - March 12, 1986
UBS FINANCIAL SERVICES INC.
July 23, 1970 - April 23, 1976
DUPONT GLORE FORGAN INCORPORATED
February 9, 1970 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 4/13/1984
Foreign Currency Options ExaminationSeries 5
Date: 11/30/1982
Interest Rate Options ExaminationSeries 1
Date: 8/15/1966
Registered Representative ExaminationSeries 12
Date: 6/21/1995
NYSE Branch Manager ExaminationSeries 40
Date: 6/2/1969
Registered Principal 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.
