DD
Dawn A. Dupre
JANNEY MONTGOMERY SCOTT LLC
Lewes, DE 19958
Some features on this profile are disabled
CRD#: 2361976
DD
Professional summary
Dawn Autin Dupre, who also goes by Dawn A Dupre, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Lewes, Delaware.
Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Dawn has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dawn A Dupre
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) Blackpool HOA Board; Serve on homeowner's association board in 2021; 127 Blackpool Rd. Rehoboth Beach, DE 19971; HOA Board, Quarterly meetings; 1hr/month 2) Kings Creek Country Club, Rehoboth Beach, DE. Board member, 2 hours/month, not compensated, member since 2015.
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Autin Dupre's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dawn Autin Dupre'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 17, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 12001 Old Vine Blvd. Unit #106, Lewes, DE 19958Office #2: 1235 Westlakes Drive Suite 225, Berwyn (valley Forge), PA 19312RIA
BD
CRD#: 463
Lewes, DE
Current
January 17, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 12001 Old Vine Blvd. Unit #106, Lewes, DE 19958Office #2: 1235 Westlakes Drive Suite 225, Berwyn (valley Forge), PA 19312RIA
BD
CRD#: 463
Lewes, DE
Past
November 18, 2013 - January 21, 2020
MORGAN STANLEY
RIA
CRD#: 149777
BERWYN, PA
Past
November 18, 2013 - January 21, 2020
MORGAN STANLEY
BD
CRD#: 149777
BERWYN, PA
Past
May 28, 2010 - October 23, 2012
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
PLYMOUTH MEETING, PA
Past
May 28, 2010 - October 23, 2012
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PLYMOUTH MEETING, PA
Past
January 1, 2008 - May 3, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
BERWYN, PA
Past
December 10, 2007 - May 3, 2010
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
BERWYN, PA
Past
September 9, 2004 - September 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAYNE, PA
Past
September 8, 2004 - September 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAYNE, PA
Past
July 10, 2003 - January 20, 2005
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 111757
BIRMINGHAM, AL
Past
January 31, 2003 - August 11, 2003
AMSOUTH INVESTMENT SERVICES, INC.
RIA
CRD#: 15692
TAMPA, FL
Past
June 14, 2000 - August 11, 2004
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
BIRMINGHAM, AL
Past
February 17, 1999 - June 6, 2000
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
July 22, 1993 - March 24, 1999
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
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
California(1/17/2020)
IAR
California(3/2/2022)
RR
Colorado(2/20/2025)
RR
Delaware(1/17/2020)
IAR
Delaware(1/17/2020)
RR
District of Columbia(11/15/2023)
RR
Florida(1/17/2020)
RR
Georgia(1/17/2020)
RR
Idaho(1/17/2020)
RR
Kentucky(9/11/2025)
RR
Louisiana(1/17/2020)
RR
Maine(1/17/2020)
RR
Maryland(1/17/2020)
RR
Massachusetts(1/21/2020)
RR
Michigan(10/23/2025)
RR
Minnesota(8/5/2020)
IAR
Minnesota(8/7/2020)
RR
New Jersey(1/17/2020)
RR
New York(1/17/2020)
RR
Ohio(1/17/2020)
RR
Pennsylvania(1/17/2020)
IAR
Pennsylvania(1/17/2020)
RR
South Carolina(1/17/2020)
RR
Tennessee(5/26/2020)
RR
Texas(1/17/2020)
IAR
Texas(2/24/2021)
RR
Virginia(1/17/2020)
RR
Washington(5/14/2024)
RR
Wisconsin(1/17/2020)
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
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Lewes, DE 19958TRUST BUT VERIFY
Monitor Dawn Dupre
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
