John T. Hourigan
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.
John Timothy Hourigan, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2025 - June 29, 2026
JANNEY MONTGOMERY SCOTT LLC
November 26, 2025 - June 29, 2026
JANNEY MONTGOMERY SCOTT LLC
February 3, 2025 - December 5, 2025
YOUR FINANCIAL ADVOCATE, LLC
May 4, 2023 - October 7, 2024
BNY MELLON SECURITIES CORPORATION
March 3, 2016 - November 21, 2024
BNY ADVISORS
March 3, 2016 - March 4, 2024
PERSHING LLC
January 14, 2016 - January 25, 2016
EDWARD JONES
January 11, 2016 - January 25, 2016
EDWARD JONES
October 23, 2013 - March 31, 2015
ENVESTNET PMC
October 22, 2013 - March 31, 2015
PORTFOLIO BROKERAGE SERVICES, INC.
January 27, 2004 - July 16, 2013
PGIM INVESTMENTS LLC
October 9, 2003 - July 16, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 13, 2003 - October 20, 2003
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 13, 2002 - June 13, 2003
PRUCO SECURITIES, LLC.
June 5, 2001 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 10, 1996 - March 28, 2001
METROPOLITAN LIFE INSURANCE COMPANY
September 10, 1996 - March 28, 2001
MSI FINANCIAL SERVICES, INC.
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 52TO
Date: 7/31/2023
Municipal Securities Representative 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 | |
| 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.
