DM
David P. Mundy
JANNEY MONTGOMERY SCOTT LLC
New York, NY 10036
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CRD#: 2316749
DM
Professional summary
David Paul Mundy is a registered financial professional currently at JANNEY MONTGOMERY SCOTT LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Paul Mundy'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
May 18, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1166 Avenue Of The Americas, New York, NY 10036RIA
BD
CRD#: 463
New York, NY
Past
September 2, 2014 - May 13, 2015
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
October 7, 2013 - July 29, 2014
KGS-ALPHA CAPITAL MARKETS, L.P.
BD
CRD#: 151705
NEW YORK, NY
Past
October 23, 2012 - September 24, 2013
SANTANDER US CAPITAL MARKETS LLC
BD
CRD#: 150696
NEW YORK, NY
Past
September 1, 2010 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
BD
CRD#: 108424
NEW YORK, NY
Past
December 12, 2005 - September 9, 2010
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
NEW YORK, NY
Past
January 16, 1995 - January 4, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
July 18, 1994 - January 20, 1995
SHAY FINANCIAL SERVICES CO.
BD
CRD#: 27215
IRVING, TX
Past
July 18, 1994 - July 31, 1997
SHAY GOVERNMENT SECURITIES CO.
BD
CRD#: 27214
Past
January 21, 1993 - July 20, 1994
PRINTON, KANE GROUP, INC.
BD
CRD#: 23667
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.
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(5/18/2015)
RR
Alaska(5/18/2015)
RR
Arizona(5/18/2015)
RR
Arkansas(5/18/2015)
RR
California(5/18/2015)
RR
Colorado(5/18/2015)
RR
Connecticut(5/18/2015)
RR
Delaware(5/18/2015)
RR
District of Columbia(5/18/2015)
RR
Florida(5/18/2015)
RR
Georgia(5/18/2015)
RR
Hawaii(5/18/2015)
RR
Idaho(5/18/2015)
RR
Illinois(5/18/2015)
RR
Indiana(5/18/2015)
RR
Iowa(5/18/2015)
RR
Kansas(5/18/2015)
RR
Kentucky(5/18/2015)
RR
Louisiana(5/18/2015)
RR
Maine(5/18/2015)
RR
Maryland(5/18/2015)
RR
Massachusetts(5/18/2015)
RR
Michigan(5/18/2015)
RR
Minnesota(5/18/2015)
RR
Mississippi(5/18/2015)
RR
Missouri(5/18/2015)
RR
Montana(5/18/2015)
RR
Nebraska(5/18/2015)
RR
Nevada(5/18/2015)
RR
New Hampshire(5/18/2015)
RR
New Jersey(5/18/2015)
RR
New Mexico(5/18/2015)
RR
New York(5/18/2015)
RR
North Carolina(5/18/2015)
RR
North Dakota(5/18/2015)
RR
Ohio(5/18/2015)
RR
Oklahoma(5/18/2015)
RR
Oregon(5/18/2015)
RR
Pennsylvania(5/18/2015)
RR
Rhode Island(5/18/2015)
RR
South Carolina(5/18/2015)
RR
South Dakota(5/18/2015)
RR
Texas(5/18/2015)
RR
Utah(5/18/2015)
RR
Vermont(5/18/2015)
RR
Virginia(5/18/2015)
RR
Washington(5/18/2015)
RR
West Virginia(5/18/2015)
RR
Wisconsin(5/18/2015)
RR
Wyoming(5/18/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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 | |
| 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.
