SG
Stephen M. Gansler
JANNEY MONTGOMERY SCOTT LLC | Senior Vice President - Wealth Management Financial Advisor
Greenville, DE 19807
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CRD#: 4193952
SG
Professional summary
Stephen Mark Gansler JR, ChFC®, who also goes by Stephen M Gansler Jr., Stephen M Gansler Jr., Stephen Mark Gansler Jr, Steve M Gansler Jr, Steve Gansler Jr, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Greenville, Delaware.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Insurance
Financial planning
Institutional consulting
Trust & estate planning
Executive services/Equity comp...
Trading individual securities
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
Are you a "fiduciary"?
Yes
Aliases
Stephen M Gansler Jr. | Stephen M Gansler Jr. | Stephen Mark Gansler Jr | Steve M Gansler Jr | Steve Gansler Jr
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 Stephen Mark Gansler JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Mark Gansler 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®
Experience
Current
June 3, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 20 Montchanin Road Suite 120, Greenville, DE 19807Office #2: 12001 Old Vine Blvd. Unit #106, Lewes, DE 19958Office #3: 814 North Highway A1a Suite 203, Ponte Vedra Beach, FL 32082-3298RIA
BD
CRD#: 463
Greenville, DE
Current
June 3, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 20 Montchanin Road Suite 120, Greenville, DE 19807Office #2: 12001 Old Vine Blvd. Unit #106, Lewes, DE 19958Office #3: 814 North Highway A1a Suite 203, Ponte Vedra Beach, FL 32082-3298RIA
BD
CRD#: 463
Greenville, DE
Past
October 23, 2009 - June 4, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WILMINGTON, DE
Past
October 23, 2009 - June 4, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WILMINGTON, DE
Past
June 22, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WILMINGTON, DE
Past
June 22, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WILMINGTON, DE
Past
July 1, 2003 - July 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ALLENTOWN, PA
Past
July 1, 2003 - July 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ALLENTOWN, PA
Past
January 4, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
JACKSONVILLE, FL
Past
January 4, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 9, 2000 - January 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Alabama(6/3/2019)
RR
Arizona(6/3/2019)
RR
Arkansas(2/16/2021)
RR
California(6/3/2019)
RR
Connecticut(6/3/2019)
RR
Delaware(6/3/2019)
IAR
Delaware(6/3/2019)
RR
District of Columbia(6/3/2019)
IAR
District of Columbia(10/7/2019)
RR
Florida(6/3/2019)
IAR
Florida(10/18/2021)
RR
Georgia(11/9/2023)
RR
Hawaii(1/4/2023)
RR
Illinois(6/3/2019)
RR
Kentucky(6/3/2019)
RR
Maryland(6/3/2019)
RR
Massachusetts(6/3/2019)
RR
Michigan(6/3/2019)
RR
Nevada(6/3/2019)
RR
New Hampshire(6/3/2019)
RR
New Jersey(6/3/2019)
RR
New York(6/3/2019)
RR
North Carolina(6/3/2019)
RR
Ohio(6/3/2019)
RR
Oklahoma(6/3/2019)
RR
Pennsylvania(6/3/2019)
RR
Rhode Island(11/15/2023)
RR
South Carolina(6/3/2019)
RR
Tennessee(10/19/2023)
RR
Texas(6/3/2019)
IAR
Texas(6/3/2019)
RR
Virginia(6/3/2019)
RR
Washington(4/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO 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
Senior Vice President - Wealth Management Financial AdvisorCRD#: 463Greenville, DE 19807TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
