Josephine L. Vaiksnis
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.
Josephine Litvany Vaiksnis, who also goes by Joel Vaiksnis, Josephine Elizabeth Vaiksnis, was a registered financial professional .
Josephine is a previously registered financial professional and started their career in finance in 1974. Josephine had worked at 11 firms and has passed the Series 65, Series 63, SIE, PC, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2015 - December 9, 2016
JANNEY MONTGOMERY SCOTT LLC
December 19, 2005 - December 9, 2016
JANNEY MONTGOMERY SCOTT LLC
January 14, 1997 - January 4, 2006
ADVEST, INC.
November 7, 1995 - January 24, 1997
FINANCIAL SQUARE PARTNERS
April 30, 1991 - September 19, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
December 2, 1986 - April 30, 1991
MABON, NUGENT & CO.
June 19, 1985 - November 26, 1986
CANACCORD GENUITY LLC
May 27, 1983 - May 30, 1985
KENNEY & BRANISEL MUNICIPALS, INC.
May 3, 1983 - August 23, 1983
NATIONAL FINANCIAL SERVICES LLC
February 16, 1979 - April 8, 1983
FIDELITY BROKERAGE SERVICES LLC
February 22, 1978 - September 18, 1978
THOMSON MCKINNON SECURITIES INC.
July 29, 1974 - November 6, 1977
LEHMAN BROTHERS INCORPORATED
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: 1/8/1997
AMEX Put and Call ExamSeries 1
Date: 7/25/1974
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.
