Edward J. Rochford
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.
Edward James Rochford JR, who also goes by Edward James Rochford, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1970. Edward had worked at 13 firms and has passed the Series 63, SIE 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
October 7, 2008 - January 31, 2018
JANNEY MONTGOMERY SCOTT LLC
October 7, 2008 - January 31, 2018
JANNEY MONTGOMERY SCOTT LLC
October 18, 2002 - November 30, 2007
CITIGROUP GLOBAL MARKETS INC.
April 25, 1997 - November 30, 2007
CITIGROUP GLOBAL MARKETS INC.
October 11, 1991 - April 8, 1997
TUCKER ANTHONY INCORPORATED
July 4, 1985 - June 20, 1988
AMERICAN CAPITAL CORPORATION
June 18, 1985 - September 25, 1991
MID-STATE SECURITIES CORP.
March 3, 1981 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
June 8, 1978 - April 2, 1981
HANAUER, STERN & COMPANY,INCORPORATED
October 26, 1977 - February 3, 1978
AMERICAN SECURITIES BD CO., L.P.
February 8, 1977 - November 6, 1977
STERLING, GRACE & CO., INCORPORATED
November 5, 1975 - January 31, 1976
UMIC, INC.
March 5, 1974 - January 20, 1976
J A B SECURITIES
December 15, 1971 - March 1, 1972
MAYFLOWER SECURITIES CO., INC.
December 29, 1970 - September 1, 1971
INTERCONTINENTAL 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 1
Date: 7/8/1970
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.
