Stanley T. Novak
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.
Stanley Theodore Novak, who also goes by Stanley Theo Novak Jr, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1981. Stanley had worked at 6 firms and has passed the Series 65, Series 63, Series 5, Series 15, PC, Series 7, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2005 - December 2, 2013
JANNEY MONTGOMERY SCOTT LLC
January 18, 2005 - December 2, 2013
JANNEY MONTGOMERY SCOTT LLC
January 1, 2004 - January 14, 2005
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - January 14, 2005
PNC WEALTH MANAGEMENT LLC
June 11, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
January 12, 2001 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
August 25, 1989 - December 7, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 24, 1989 - January 25, 2001
LEGG MASON WOOD WALKER, INCORPORATED
April 21, 1981 - August 25, 1989
THOMSON MCKINNON SECURITIES 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 5
Date: 10/21/1983
Interest Rate Options ExaminationSeries 15
Date: 12/8/1982
Foreign Currency Options ExaminationPC
Date: 5/18/1981
AMEX Put and Call ExamSeries 1
Date: 11/17/1967
Registered Representative ExaminationSeries 12
Date: 6/20/1981
NYSE Branch Manager 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 | |
| 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.
