Lester J. Risell
Professional summary
Lester Judd Risell JR, AIF®, who also goes by Les Risell, Lester Judd Risell, Lester J Risell Jr, is a registered financial professional currently at JANNEY MONTGOMERY SCOTT LLC located in Philadelphia, Pennsylvania.
Lester is registered as a RR (Registered Representative) and started their career in finance in 1999. Lester has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lester Judd Risell JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 2017 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1717 Arch Street, Philadelphia, PA 19103January 4, 2016 - July 25, 2017
COMMONWEALTH FINANCIAL NETWORK
February 4, 2015 - December 1, 2015
ASCENSUS FINANCIAL SERVICES, LLC.
March 13, 2009 - September 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 13, 2009 - September 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 21, 2008 - March 26, 2009
UBS FINANCIAL SERVICES INC.
April 24, 2008 - March 26, 2009
UBS FINANCIAL SERVICES INC.
November 7, 2006 - March 19, 2008
SIGNATOR INVESTORS, INC.
February 22, 1999 - December 10, 1999
C. J. M. PLANNING CORP.
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
(8/4/2017)
(8/4/2017)
Exams
FINRA
Nasdaq Stock Market
New York Stock Exchange
Current 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 | |
| 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.
