DJ
De Forest Johnson
JANNEY MONTGOMERY SCOTT
Wilmington, DE 19805
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CRD#: 259212
DJ
De Forest JohnsonJANNEY MONTGOMERY SCOTT
Professional summary
De Forest Johnson, who also goes by De Forest Johnson, Deforest Johnson, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Wilmington, Delaware.
De Forest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. De Forest has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 5, PC, Series 1, Series 10, Series 9 and Series 8 exams.
Aliases
De Forest Johnson | Deforest Johnson
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.
Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative.
CRS (Client Relationship Summary) - RIA
Click below to view De Forest Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view De Forest Johnson'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
August 6, 2026 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1013 Centre Road, Suite 102, Wilmington, DE 19805RIA
BD
CRD#: 463
Wilmington, DE
Current
August 6, 2026 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1013 Centre Road, Suite 102, Wilmington, DE 19805RIA
BD
CRD#: 463
Wilmington, DE
Past
March 28, 2013 - August 11, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WILMINGTON, DE
Past
March 28, 2013 - August 11, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
WILMINGTON, DE
Past
June 1, 2009 - April 12, 2013
MORGAN STANLEY
RIA
CRD#: 149777
WILMINGTON, DE
Past
June 1, 2009 - April 12, 2013
MORGAN STANLEY
BD
CRD#: 149777
WILMINGTON, DE
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
GREENVILLE, DE
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GREENVILLE, DE
Past
August 10, 2005 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
GREENVILLE, DE
Past
November 3, 1987 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
October 30, 1987 - November 3, 1987
LEGG MASON MASTEN INC.
BD
CRD#: 2
Past
September 18, 1985 - October 30, 1987
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
Past
February 24, 1978 - September 20, 1985
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
February 21, 1969 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
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
Arizona(8/6/2026)
RR
California(8/6/2026)
RR
Colorado(8/6/2026)
RR
Delaware(8/6/2026)
IAR
Delaware(8/6/2026)
RR
District of Columbia(8/6/2026)
RR
Florida(8/6/2026)
RR
Georgia(8/6/2026)
RR
Illinois(8/6/2026)
RR
Kentucky(8/6/2026)
RR
Maryland(8/6/2026)
RR
Minnesota(8/6/2026)
RR
New York(8/6/2026)
RR
North Carolina(8/12/2026)
RR
Ohio(8/6/2026)
RR
Pennsylvania(8/6/2026)
IAR
Pennsylvania(8/6/2026)
RR
Tennessee(8/6/2026)
RR
Texas(8/6/2026)
IAR
Texas(8/6/2026)
RR
Virginia(8/6/2026)
RR
West Virginia(8/6/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 6/1/1978
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 2/10/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/20/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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.
