AM
Alan S. Meminger
JANNEY MONTGOMERY SCOTT LLC
Le Moyne, PA 17043
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CRD#: 331805
AM
Professional summary
Alan Smith Meminger is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Le Moyne, Pennsylvania.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1964. Alan has worked at 5 firms and has passed the Series 63, Series 52TO, Series 7TO, SIE, Series 5, PC, Series 1, Series 9, Series 24, Series 10, Series 53, Series 4, Series 40 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Smith Meminger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Smith Meminger'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
June 12, 2006 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 20 Erford Road Suite 315, Le Moyne, PA 17043RIA
BD
CRD#: 463
Le Moyne, PA
Current
July 16, 1980 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 20 Erford Road Suite 315, Le Moyne, PA 17043RIA
BD
CRD#: 463
Le Moyne, PA
Past
May 24, 1978 - August 14, 1980
W.H. NEWBOLD'S SON & CO., INC.
BD
CRD#: 7575
Past
February 24, 1978 - August 10, 1978
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
January 28, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
Past
November 4, 1964 - May 29, 1974
DUPONT WALSTON, INCORPORATED
BD
CRD#: 870
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(3/28/2024)
RR
Arizona(3/6/2025)
RR
California(7/11/2017)
RR
Colorado(7/19/2018)
RR
Delaware(3/28/2024)
RR
District of Columbia(5/20/1983)
RR
Florida(5/9/1983)
RR
Georgia(3/28/2024)
RR
Illinois(1/5/2007)
RR
Kansas(3/28/2024)
RR
Kentucky(6/17/2013)
RR
Maine(6/25/1991)
RR
Maryland(10/4/1981)
RR
Michigan(9/10/2014)
RR
Minnesota(3/28/2024)
RR
Missouri(3/28/2024)
RR
Montana(3/28/2024)
RR
New Jersey(2/24/1998)
RR
New Mexico(3/28/2024)
RR
New York(4/20/2015)
RR
North Carolina(6/4/2007)
RR
Ohio(3/28/2024)
RR
Oregon(3/28/2024)
RR
Pennsylvania(11/8/1981)
IAR
Pennsylvania(6/12/2006)
RR
South Carolina(11/8/1981)
RR
Tennessee(1/19/2023)
IAR
Texas(6/28/2013)
RR
Texas(5/15/2017)
RR
Utah(6/20/2024)
RR
Vermont(11/12/2018)
RR
Virginia(6/19/2018)
RR
Washington(3/28/2024)
RR
West Virginia(3/28/2024)
RR
Wisconsin(4/11/1994)
RR
Wyoming(3/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/2/1978
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 11/2/1964
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 9/20/1968
Registered Principal ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 8/9/1968
NYSE Branch Manager ExaminationSRO 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.
