John K. Thurston
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.
John Kent Thurston was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2008 - January 12, 2021
JANNEY MONTGOMERY SCOTT LLC
December 8, 2006 - December 18, 2007
JANNEY MONTGOMERY SCOTT LLC
October 16, 2006 - January 12, 2021
JANNEY MONTGOMERY SCOTT LLC
April 17, 2006 - September 29, 2006
UBS FINANCIAL SERVICES INC.
April 13, 2006 - September 29, 2006
UBS FINANCIAL SERVICES INC.
April 14, 1997 - April 25, 2006
CITIGROUP GLOBAL MARKETS INC.
April 14, 1997 - April 25, 2006
CITIGROUP GLOBAL MARKETS INC.
November 6, 1995 - April 14, 1997
SCOTT & STRINGFELLOW, INC.
June 30, 1980 - November 3, 1995
UBS FINANCIAL SERVICES INC.
February 24, 1978 - August 21, 1980
MORGAN STANLEY DW INC.
April 28, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
February 27, 1976 - May 22, 1976
BACHE & CO INCORPORATED
February 24, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
July 1, 1971 - July 14, 1974
SWANTON SECURITIES, INC.
September 21, 1970 - August 12, 1971
MARCH PLANNING CORPORATION
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 5
Date: 1/19/1983
Interest Rate Options ExaminationPC
Date: 11/6/1980
AMEX Put and Call ExamSeries 1
Date: 9/16/1970
Registered Representative ExaminationSeries 12
Date: 12/19/1981
NYSE Branch Manager 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.
