Brian J. Delany
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.
Brian John Delany was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1992. Brian had worked at 13 firms and has passed the Series 65, Series 63, Series 79TO, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2024 - January 16, 2026
JANNEY MONTGOMERY SCOTT LLC
April 8, 2024 - January 16, 2026
JANNEY MONTGOMERY SCOTT LLC
June 22, 2022 - September 12, 2023
KEYBANC CAPITAL MARKETS INC.
March 2, 2022 - May 26, 2022
MORETON CAPITAL ADVISORS, LLC
January 10, 2022 - June 21, 2022
MORETON CAPITAL MARKETS, LLC
July 25, 2018 - February 10, 2020
MORGAN STANLEY
June 21, 2018 - February 10, 2020
MORGAN STANLEY
October 4, 2017 - April 9, 2018
MULTI-BANK SECURITIES, INC.
August 5, 2016 - August 22, 2017
INSPEREX LLC
January 27, 2014 - September 16, 2015
PIPER SANDLER & CO.
June 2, 2010 - June 29, 2012
FHN FINANCIAL SECURITIES CORP.
May 19, 2004 - June 24, 2010
CITIGROUP GLOBAL MARKETS INC.
February 1, 2000 - May 12, 2004
MERRILL LYNCH GOVERNMENT SECURITIES INC.
April 9, 1998 - May 12, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1992 - March 5, 1998
PRUDENTIAL EQUITY GROUP, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative 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.
