SO
Shane F. O'brien
JANNEY MONTGOMERY SCOTT LLC
Mystic, CT 06355
Some features on this profile are disabled
CRD#: 2656233
SO
Professional summary
Shane Francis O'brien, who also goes by Shane Francis Obrien, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Mystic, Connecticut.
Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Shane has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shane Francis Obrien
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.
1) Beachfarms Homeowners Association; 19 Haywagon Dr. Old Lyme, CT; Not investment related; Start date: 11/09/2020; Board member; 1hr/month; not investment-related 2) Rental Property, Pawleys Island, SC. Owner (01/2023) - maintain property and collect rent. Not investment related, rental income, devote 2 hours/month. 3) Homeowner's Association, Pawleys, SC. Board Member (05/2025) - attend quarterly meetings and vote on association topics. Not investment related, not compensated, 1 hour/month.
CRS (Client Relationship Summary) - RIA
Click below to view Shane Francis O'brien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shane Francis O'brien'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 16, 2017 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Willow Street Suite 101, Mystic, CT 06355RIA
BD
CRD#: 463
Mystic, CT
Current
May 16, 2017 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Willow Street Suite 101, Mystic, CT 06355RIA
BD
CRD#: 463
Mystic, CT
Past
February 9, 2015 - May 17, 2017
MORGAN STANLEY
RIA
CRD#: 149777
MYSTIC, CT
Past
February 9, 2015 - May 17, 2017
MORGAN STANLEY
BD
CRD#: 149777
MYSTIC, CT
Past
May 14, 2014 - January 22, 2015
AST INVESTMENT SERVICES, INC.
RIA
CRD#: 108897
SHELTON, CT
Past
January 21, 2005 - January 22, 2015
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
March 5, 2001 - January 7, 2005
EVERLAKE DISTRIBUTORS, LLC
BD
CRD#: 100460
NORTHBROOK, IL
Past
April 23, 1998 - February 9, 2001
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
October 17, 1995 - July 8, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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(5/16/2017)
RR
California(5/16/2017)
RR
Colorado(6/7/2022)
RR
Connecticut(5/16/2017)
IAR
Connecticut(5/16/2017)
RR
Florida(5/16/2017)
RR
Georgia(5/16/2017)
RR
Kentucky(5/16/2017)
RR
Maine(1/10/2022)
RR
Maryland(5/16/2017)
RR
Massachusetts(5/16/2017)
RR
Michigan(5/16/2017)
RR
Minnesota(1/4/2024)
RR
Nevada(5/16/2017)
RR
New Hampshire(11/8/2021)
RR
New Jersey(5/16/2017)
RR
New York(5/16/2017)
RR
North Carolina(5/16/2017)
RR
Ohio(5/16/2017)
RR
Oregon(9/19/2025)
RR
Rhode Island(5/16/2017)
RR
South Carolina(5/16/2017)
IAR
South Carolina(10/3/2023)
RR
Tennessee(5/16/2017)
RR
Texas(5/16/2017)
IAR
Texas(5/16/2017)
RR
Vermont(5/16/2017)
RR
Virginia(5/16/2017)
RR
Washington(5/16/2017)
Exams
State Security Law Exam
State Security Law 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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Mystic, CT 06355TRUST BUT VERIFY
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