CC
Christian P. Cappello
JANNEY MONTGOMERY SCOTT LLC
Philadelphia, PA 19103
Some features on this profile are disabled
CRD#: 2558752
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Professional summary
Christian Peter Cappello, who also goes by Chris Cappello, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Philadelphia, Pennsylvania.
Christian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Christian has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 57, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Cappello
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 Christian Peter Cappello's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christian Peter Cappello'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
May 14, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1717 Arch Street, Philadelphia, PA 19103RIA
BD
CRD#: 463
Philadelphia, PA
Current
May 13, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1717 Arch Street, Philadelphia, PA 19103RIA
BD
CRD#: 463
Philadelphia, PA
Past
August 10, 2009 - May 16, 2019
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
April 17, 2009 - July 8, 2009
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
April 15, 2009 - July 8, 2009
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
WEST CONSHOHOCKEN, PA
Past
February 24, 2006 - February 15, 2008
PFM FUND DISTRIBUTORS, INC.
BD
CRD#: 114474
PHILADELPHIA, PA
Past
April 30, 2002 - October 10, 2005
FERRIS, BAKER WATTS, LLC
RIA
CRD#: 285
ARDMORE, PA
Past
April 30, 2002 - October 10, 2005
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
BALTIMORE, MD
Past
February 14, 2001 - April 22, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 22, 1996 - August 20, 1997
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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(5/13/2019)
RR
Alaska(5/13/2019)
RR
Arizona(5/13/2019)
RR
Arkansas(5/13/2019)
RR
California(5/13/2019)
RR
Colorado(5/13/2019)
RR
Connecticut(5/13/2019)
RR
Delaware(5/13/2019)
RR
District of Columbia(5/13/2019)
RR
Florida(5/13/2019)
RR
Georgia(5/13/2019)
RR
Hawaii(5/13/2019)
RR
Idaho(5/13/2019)
RR
Illinois(5/13/2019)
RR
Indiana(5/13/2019)
RR
Iowa(5/13/2019)
RR
Kansas(5/13/2019)
RR
Kentucky(5/13/2019)
RR
Louisiana(5/13/2019)
RR
Maine(5/13/2019)
RR
Maryland(5/13/2019)
RR
Massachusetts(5/13/2019)
RR
Michigan(5/13/2019)
RR
Minnesota(5/13/2019)
RR
Mississippi(5/13/2019)
RR
Missouri(5/13/2019)
RR
Montana(5/13/2019)
RR
Nebraska(5/13/2019)
RR
Nevada(5/13/2019)
RR
New Hampshire(5/13/2019)
RR
New Jersey(5/13/2019)
RR
New Mexico(5/13/2019)
RR
New York(5/13/2019)
RR
North Carolina(5/13/2019)
RR
North Dakota(5/13/2019)
RR
Ohio(5/13/2019)
RR
Oklahoma(5/13/2019)
RR
Oregon(5/13/2019)
RR
Pennsylvania(5/13/2019)
IAR
Pennsylvania(5/14/2019)
RR
Puerto Rico(5/13/2019)
RR
Rhode Island(5/13/2019)
RR
South Carolina(5/13/2019)
RR
South Dakota(5/13/2019)
RR
Tennessee(5/13/2019)
RR
Texas(5/13/2019)
RR
Utah(5/13/2019)
RR
Vermont(5/13/2019)
RR
Virgin Islands(5/13/2019)
RR
Virginia(5/13/2019)
RR
Washington(5/13/2019)
RR
West Virginia(5/13/2019)
RR
Wisconsin(5/13/2019)
RR
Wyoming(5/13/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
