JP
Joseph A. Pardi
JANNEY MONTGOMERY SCOTT LLC
Boca Raton, FL 33431
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CRD#: 356267
JP
Professional summary
Joseph Angelo Pardi JR is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Boca Raton, Florida.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Joseph has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 5 and Series 1 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 Joseph Angelo Pardi JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Angelo Pardi JR'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
November 7, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 2385 Nw Executive Center Drive Suite 200, Boca Raton, FL 33431RIA
BD
CRD#: 463
Boca Raton, FL
Current
November 7, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 2385 Nw Executive Center Drive Suite 200, Boca Raton, FL 33431RIA
BD
CRD#: 463
Boca Raton, FL
Past
November 1, 2002 - November 15, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
POMPANO BEACH, FL
Past
October 25, 2002 - November 15, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
POMPANO BEACH, FL
Past
July 29, 1991 - October 2, 2002
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
January 7, 1987 - August 5, 1991
TWENTY-FIRST SECURITIES CORPORATION
BD
CRD#: 14461
NEW YORK, NY
Past
April 17, 1985 - June 19, 1986
ROONEY, PACE INC.
BD
CRD#: 6218
Past
January 20, 1984 - April 26, 1985
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
Past
August 22, 1980 - January 23, 1984
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
September 26, 1978 - September 21, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
November 26, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
Past
March 6, 1974 - December 1, 1974
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
Past
August 1, 1973 - June 10, 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
Arizona(11/7/2024)
RR
California(11/7/2024)
RR
Connecticut(11/7/2024)
RR
Florida(11/7/2024)
IAR
Florida(11/8/2024)
RR
Georgia(11/7/2024)
RR
Indiana(11/7/2024)
RR
Kentucky(11/7/2024)
RR
Minnesota(9/17/2025)
RR
New Jersey(11/7/2024)
IAR
New Jersey(11/7/2024)
RR
New York(11/7/2024)
RR
North Carolina(11/25/2024)
RR
Ohio(11/7/2024)
RR
Pennsylvania(11/7/2024)
RR
Texas(11/7/2024)
IAR
Texas(11/7/2024)
RR
Vermont(11/7/2024)
RR
Virgin Islands(3/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 7/24/1973
Registered Representative 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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Boca Raton, FL 33431TRUST BUT VERIFY
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