Noel A. Becker
JANNEY MONTGOMERY SCOTT | Sr Vice President
Hudson, OH 44236
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CRD#: 2531523
Professional summary
Noel A Becker is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Hudson, Ohio.
Noel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Noel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Executive services/Equity comp...
Institutional consulting
Trading individual securities
Loans/credit services
Financial planning
Philanthropic services
Trust & estate planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
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 Noel A Becker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Noel A Becker'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
March 9, 2026 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1742 Georgetown Road Suite H, Hudson, OH 44236RIA
BD
CRD#: 463
Hudson, OH
Current
March 9, 2026 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1742 Georgetown Road Suite H, Hudson, OH 44236RIA
BD
CRD#: 463
Hudson, OH
Past
February 9, 2007 - April 2, 2026
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HUDSON, OH
Past
February 9, 2007 - April 2, 2026
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HUDSON, OH
Past
October 18, 1999 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
STRONGSVILLE, OH
Past
May 14, 1999 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
STRONGSVILLE, OH
Past
June 19, 1997 - May 14, 1999
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
July 14, 1995 - March 13, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(4/2/2026)
RR
Arizona(3/9/2026)
RR
California(3/9/2026)
RR
Colorado(3/9/2026)
RR
Connecticut(3/9/2026)
RR
Delaware(3/9/2026)
RR
District of Columbia(3/9/2026)
RR
Florida(3/9/2026)
RR
Georgia(3/9/2026)
RR
Illinois(3/9/2026)
RR
Kansas(3/9/2026)
RR
Kentucky(3/9/2026)
RR
Maine(3/9/2026)
RR
Maryland(3/25/2026)
RR
Massachusetts(3/10/2026)
RR
Michigan(3/9/2026)
RR
Minnesota(3/9/2026)
RR
Nevada(3/9/2026)
RR
New Hampshire(3/9/2026)
RR
New Jersey(3/9/2026)
IAR
New York(3/9/2026)
RR
New York(3/9/2026)
RR
Ohio(3/9/2026)
IAR
Ohio(3/9/2026)
RR
Oregon(3/9/2026)
RR
Pennsylvania(3/9/2026)
RR
South Carolina(3/9/2026)
RR
Tennessee(3/9/2026)
RR
Texas(3/9/2026)
IAR
Texas(3/9/2026)
RR
Virginia(3/9/2026)
RR
Washington(3/9/2026)
RR
Wisconsin(3/9/2026)
Exams
State Security Law Exam
State Security Law 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 | |
| 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
Sr Vice PresidentCRD#: 463Hudson, OH 44236TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
