SH
Stanley M. Hochhauser
JANNEY MONTGOMERY SCOTT
New York, NY 10036
Some features on this profile are disabled
CRD#: 247225
SH
Professional summary
Stanley Manuel Hochhauser is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in New York, New York.
Stanley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1965. Stanley has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 15, PC, Series 1, Series 9, Series 4, Series 10, Series 53, Series 24 and Series 12 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Stanley Manuel Hochhauser's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stanley Manuel Hochhauser'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
April 5, 2006 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1166 Avenue Of The Americas 21st Floor, New York, NY 10036RIA
BD
CRD#: 463
New York, NY
Current
December 14, 2001 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1166 Avenue Of The Americas 21st Floor, New York, NY 10036RIA
BD
CRD#: 463
New York, NY
Past
March 6, 1990 - December 21, 2001
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
January 30, 1988 - March 14, 1990
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
June 1, 1973 - February 4, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
Past
March 22, 1973 - June 25, 1973
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
February 24, 1972 - July 2, 1973
DREXEL FIRESTONE INCORPORATED
BD
CRD#: 230
Past
August 2, 1965 - March 4, 1972
SHEARSON, HAMMILL & CO., INCORPORATED
BD
CRD#: 766
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(12/14/2001)
IAR
California(4/5/2006)
RR
Colorado(12/14/2001)
RR
Connecticut(12/14/2001)
RR
Delaware(11/6/2024)
RR
District of Columbia(9/7/2007)
RR
Florida(12/14/2001)
RR
Georgia(8/15/2023)
RR
Illinois(4/24/2025)
RR
Massachusetts(12/14/2001)
RR
New Jersey(12/14/2001)
IAR
New Jersey(10/3/2008)
RR
New Mexico(2/8/2018)
RR
New York(12/14/2001)
IAR
New York(6/22/2021)
RR
Ohio(12/14/2001)
RR
Pennsylvania(12/14/2001)
RR
Texas(12/14/2001)
IAR
Texas(4/16/2014)
RR
Utah(2/15/2012)
RR
Vermont(1/12/2017)
RR
Virginia(3/11/2022)
RR
Washington(12/10/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 11/17/1982
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 1/17/1978
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 7/30/1965
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 3/21/1981
NYSE Branch Manager ExaminationSRO 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)
PREMIUM
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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 | |
| 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.
