Michael J. Pinckes
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.
Michael J Pinckes was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1972. Michael had worked at 11 firms and has passed the Series 65, Series 63, Series 31, PC, Series 5, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2005 - April 30, 2007
JANNEY MONTGOMERY SCOTT LLC
September 10, 2001 - April 30, 2007
JANNEY MONTGOMERY SCOTT LLC
April 4, 1994 - September 18, 2001
UBS FINANCIAL SERVICES INC.
March 3, 1988 - April 12, 1994
ADVEST, INC.
June 18, 1987 - February 23, 1988
WACHOVIA SECURITIES, INC.
December 5, 1983 - April 12, 1994
ADVEST, INC.
March 2, 1981 - December 28, 1983
MORGAN STANLEY DW INC.
March 7, 1979 - March 27, 1981
THOMSON MCKINNON SECURITIES INC.
May 2, 1978 - April 19, 1979
LEHMAN BROTHERS INC.
September 16, 1977 - May 17, 1978
PRUDENTIAL EQUITY GROUP, LLC
April 1, 1975 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
October 25, 1972 - April 19, 1975
REYNOLDS SECURITIES, INC.
May 17, 1972 - November 19, 1972
PHILIPS, APPEL & WALDEN, 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
PC
Date: 8/3/1988
AMEX Put and Call ExamSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 000
Date: 2/5/1968
General Securities Principal ExaminationSeries 1
Date: 2/5/1968
Registered Representative 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.
