JC
John P. Casale
JANNEY MONTGOMERY SCOTT LLC
Berwyn (valley Forge), PA 19312
Some features on this profile are disabled
CRD#: 2347602
JC
Professional summary
John Phillip Casale is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Berwyn (valley Forge), Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 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.
1) Real Estate; Not Investment Related; 23 S Washington Ave, Margate, NJ; Real estate LLC that owns one property; 10% owner. Not responsible for recurring expenses. silent partner; 05/01/2006; 0 hrs/month; 0 hrs/day; No duties relating to the business. 2) Wolverine Logistics LLC; Not Investment Related; 2134 Sutton Ave, Northfield, NJ; Delivery of blood samples to Lab Corp facilities; Driver; 05/15/2018; 5 hrs/month; 0 hrs/day; Pick up and drop off samples for Lab Corp facilities only after market hours. 3) Uber; Not Investment Related; 2134 Sutton Ave, Northfield, NJ; Transporation services; Ride sharing; 03/01/2016; 20 hrs/month; 1 hrs/day; Driver - transporting passengers from one destination to another. 4) Lyft; Not Investment Related; 2134 Sutton Ave, Northfield, NJ; Transportation services; Driver; 03/15/2017; 5 hrs/month; 0 hrs/day; Transporting passengers from one destination to another.
CRS (Client Relationship Summary) - RIA
Click below to view John Phillip Casale's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Phillip Casale'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 26, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1235 Westlakes Drive Suite 225, Berwyn (valley Forge), PA 19312RIA
BD
CRD#: 463
Berwyn (valley Forge), PA
Current
June 25, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1235 Westlakes Drive Suite 225, Berwyn (valley Forge), PA 19312RIA
BD
CRD#: 463
Berwyn (valley Forge), PA
Past
November 6, 2015 - June 19, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
MARGATE CITY, NJ
Past
November 6, 2015 - June 19, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
MARGATE CITY, NJ
Past
October 24, 2008 - November 10, 2015
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
LINWOOD, NJ
Past
October 24, 2008 - November 10, 2015
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
LINWOOD, NJ
Past
July 24, 2006 - October 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
MARGATE CITY, NJ
Past
July 3, 2006 - October 24, 2007
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MARGATE CITY, NJ
Past
May 5, 2006 - October 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MARGATE CITY, NJ
Past
March 14, 2000 - May 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LINWOOD, NJ
Past
October 1, 1999 - May 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LINWOOD, NJ
Past
June 4, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
December 24, 1996 - June 15, 1999
L.O. THOMAS & CO. INC.
BD
CRD#: 23657
LINWOOD, NJ
Past
June 7, 1994 - December 24, 1996
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
May 24, 1993 - May 16, 1994
FLEET ENTERPRISES, INC.
BD
CRD#: 17434
NEW YORK, NY
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(5/26/2020)
RR
California(5/26/2020)
RR
Colorado(5/26/2020)
RR
Connecticut(5/26/2020)
RR
Delaware(5/26/2020)
RR
District of Columbia(5/26/2020)
RR
Florida(5/26/2020)
RR
Idaho(5/26/2020)
RR
Illinois(5/26/2020)
RR
Kansas(5/26/2020)
RR
Kentucky(5/26/2020)
RR
Louisiana(5/26/2020)
RR
Maine(5/26/2020)
RR
Maryland(5/26/2020)
RR
Massachusetts(2/27/2019)
RR
Michigan(5/26/2020)
RR
Nevada(4/29/2021)
RR
New Hampshire(5/26/2020)
RR
New Jersey(6/25/2018)
IAR
New Jersey(6/26/2018)
RR
New York(5/14/2020)
RR
North Carolina(5/26/2020)
RR
North Dakota(5/26/2020)
RR
Ohio(5/26/2020)
RR
Oregon(5/26/2020)
RR
Pennsylvania(11/20/2018)
IAR
Pennsylvania(11/20/2018)
RR
Rhode Island(5/26/2020)
RR
South Carolina(5/26/2020)
RR
Tennessee(5/26/2020)
RR
Texas(5/26/2020)
IAR
Texas(5/26/2020)
RR
Utah(9/12/2018)
RR
Vermont(5/26/2020)
RR
Virginia(5/26/2020)
RR
Washington(5/26/2020)
RR
Wisconsin(5/26/2020)
Exams
State Security Law Exam
State Security Law 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 | |
| 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.
