Thomas L. Serano
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.
Thomas Louis Serano JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2006 - July 22, 2024
JANNEY MONTGOMERY SCOTT LLC
September 13, 1996 - July 22, 2024
JANNEY MONTGOMERY SCOTT LLC
December 14, 1984 - September 17, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 1982 - September 10, 1982
PRUDENTIAL EQUITY GROUP, LLC
January 28, 1980 - May 26, 1982
ELKINS & CO.
December 28, 1979 - January 1, 1985
PRUDENTIAL EQUITY GROUP, LLC
September 16, 1977 - October 16, 1977
PRUDENTIAL EQUITY GROUP, LLC
August 11, 1977 - January 28, 1980
CITIGROUP GLOBAL MARKETS INC.
October 4, 1976 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
December 17, 1974 - October 20, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 8, 1974 - October 10, 1974
LOEB RHOADES & CO
July 2, 1973 - March 14, 1974
DUPONT WALSTON, INCORPORATED
March 3, 1972 - July 2, 1973
DUPONT GLORE FORGAN 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/16/1972
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.
