RC
Richard J. Cardinal
JANNEY MONTGOMERY SCOTT LLC
West Hartford, CT 06107-2420
Some features on this profile are disabled
CRD#: 2958585
RC
Professional summary
Richard Joseph Cardinal, CFP®, who also goes by Rich Cardinal, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in West Hartford, Connecticut.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Cardinal
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.
West Hartford Chamber of Commerce, West Hartford, CT. The West Hartford Chamber of Commerce is a private, non-profit organization dedicated to the development, advancement, and promotion of the professional, business, educational, civic, and cultural well being of our town. Member (08/2023), Networking with local businesses, promoting economic growth, advocating business interests, and participating in community events. Not investment related, not compensated, 1 hour/month.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Cardinal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Joseph Cardinal'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®
CFP®
Start date: 2017
Experience
Current
November 4, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 15 N. Main Street Suite 300, West Hartford, CT 06107-2420RIA
BD
CRD#: 463
West Hartford, CT
Current
November 4, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 15 N. Main Street Suite 300, West Hartford, CT 06107-2420RIA
BD
CRD#: 463
West Hartford, CT
Past
September 28, 2020 - November 16, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
GLASTONBURY, CT
Past
May 31, 2019 - September 1, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
AVON, CT
Past
June 16, 2016 - June 3, 2019
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
GLASTONBURY, CT
Past
June 16, 2016 - June 3, 2019
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
GLASTONBURY, CT
Past
July 1, 2003 - June 17, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GLASTONBURY, CT
Past
July 1, 2003 - June 17, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GLASTONBURY, CT
Past
June 5, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
HARTFORD, CT
Past
April 5, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 30, 1999 - November 19, 1999
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
June 23, 1999 - September 9, 1999
NORTHSTAR DISTRIBUTORS, INC.
BD
CRD#: 20863
STAMFORD, CT
Past
November 21, 1997 - June 4, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, 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(1/12/2022)
RR
Alaska(1/12/2022)
RR
Arizona(11/4/2020)
RR
California(11/4/2020)
RR
Colorado(1/12/2022)
RR
Connecticut(11/4/2020)
IAR
Connecticut(11/4/2020)
RR
District of Columbia(1/12/2022)
RR
Florida(11/4/2020)
RR
Georgia(11/4/2020)
RR
Illinois(11/4/2020)
RR
Iowa(1/12/2022)
RR
Maine(11/4/2020)
RR
Maryland(11/4/2020)
RR
Massachusetts(11/4/2020)
RR
Michigan(1/12/2022)
RR
Montana(11/4/2020)
RR
Nevada(11/4/2020)
RR
New Hampshire(11/4/2020)
RR
New Jersey(11/4/2020)
RR
New Mexico(11/4/2020)
RR
New York(11/4/2020)
RR
North Carolina(11/5/2020)
RR
Ohio(1/12/2022)
RR
Oregon(1/12/2022)
RR
Pennsylvania(11/4/2020)
RR
Rhode Island(11/4/2020)
RR
South Carolina(11/4/2020)
RR
Tennessee(1/12/2022)
RR
Texas(11/4/2020)
IAR
Texas(11/4/2020)
RR
Utah(11/4/2020)
RR
Vermont(11/4/2020)
RR
Virginia(11/4/2020)
RR
Washington(1/12/2022)
RR
Wyoming(11/4/2020)
Exams
State Security Law Exam
State Security Law 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.
