Stuart R. Itzkowitz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stuart Robert Itzkowitz was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1970. Stuart had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 000, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2005 - January 12, 2021
JANNEY MONTGOMERY SCOTT LLC
September 6, 2002 - January 12, 2021
JANNEY MONTGOMERY SCOTT LLC
November 20, 2001 - October 9, 2002
SANDS BROTHERS & CO., LTD.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
January 26, 1998 - August 31, 2001
SSI SECURITIES CORP.
July 11, 1980 - November 22, 1982
BRUNS, NORDEMAN, REA & CO.
June 12, 1980 - January 27, 1998
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1979 - July 6, 1980
JII SECURITIES INC.
February 24, 1978 - September 15, 1979
PHILIPS, APPEL & WALDEN, INC.
January 28, 1977 - March 17, 1978
SHEARSON HAYDEN STONE INC.
April 30, 1975 - January 31, 1977
REYNOLDS SECURITIES, INC.
February 13, 1970 - April 21, 1975
BACHE & CO INCORPORATED
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 6/13/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationSeries 000
Date: 2/9/1970
General Securities Principal ExaminationSeries 1
Date: 2/9/1970
Registered Representative ExaminationSeries 40
Date: 10/14/1976
Registered Principal ExaminationSeries 12
Date: 8/19/1970
NYSE Branch Manager ExaminationCurrent Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
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.
