JW
James A. Wolfinger
JANNEY MONTGOMERY SCOTT LLC
Pittsburgh, PA 15222
Some features on this profile are disabled
CRD#: 471466
JW
Professional summary
James Andrew Wolfinger, who also goes by James A Olfinger, Andy Wolfinger, James A Wolfinger, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Pittsburgh, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. James has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James A Olfinger | Andy Wolfinger | James A Wolfinger
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.
Judge of Elections Pittsburgh PA Ward 26 District 2; Not Investment Related; Title/Position: Judge of Elections; Devotes 2 or 3 days per year, only for primary and general elections; approx. 10-12 hours on election days; compensated.
CRS (Client Relationship Summary) - RIA
Click below to view James Andrew Wolfinger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Andrew Wolfinger'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®
NoneExperience
Current
April 24, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: One Ppg Place Suite 2200, Pittsburgh, PA 15222RIA
BD
CRD#: 463
Pittsburgh, PA
Current
April 23, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: One Ppg Place Suite 2200, Pittsburgh, PA 15222RIA
BD
CRD#: 463
Pittsburgh, PA
Past
December 22, 1994 - January 5, 1995
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
July 31, 1993 - May 12, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PITTSBURGH, PA
Past
June 25, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 15, 1979 - June 25, 1979
LOEB PARTNERS
BD
CRD#: 7534
Past
January 7, 1976 - June 18, 1979
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
February 13, 1975 - January 10, 1976
BACHE & CO INCORPORATED
BD
CRD#: 7058
Past
February 5, 1973 - February 16, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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(5/30/2018)
RR
Arizona(4/26/2018)
RR
California(4/23/2009)
IAR
California(5/30/2018)
RR
Colorado(5/30/2018)
RR
Connecticut(3/14/2018)
RR
Delaware(5/2/2023)
RR
District of Columbia(4/23/2009)
IAR
District of Columbia(4/18/2013)
RR
Florida(4/23/2009)
RR
Georgia(3/14/2018)
RR
Hawaii(5/30/2018)
RR
Illinois(5/5/2014)
RR
Indiana(5/30/2018)
RR
Kansas(3/26/2020)
RR
Kentucky(1/7/2016)
RR
Louisiana(1/25/2021)
RR
Maine(2/12/2024)
RR
Maryland(4/26/2018)
RR
Massachusetts(4/23/2009)
RR
Michigan(5/30/2018)
RR
Missouri(2/12/2024)
RR
Nevada(5/30/2018)
RR
New Hampshire(5/24/2018)
RR
New Jersey(5/30/2018)
RR
New Mexico(5/30/2018)
RR
New York(5/30/2018)
RR
North Carolina(11/23/2015)
IAR
North Carolina(5/30/2018)
RR
Ohio(4/23/2009)
IAR
Ohio(5/30/2018)
RR
Oregon(4/26/2018)
RR
Pennsylvania(4/23/2009)
IAR
Pennsylvania(4/24/2009)
RR
Rhode Island(11/17/2021)
RR
South Carolina(5/30/2018)
RR
Tennessee(5/30/2018)
RR
Texas(5/30/2018)
IAR
Texas(5/30/2018)
RR
Utah(5/30/2018)
RR
Vermont(1/3/2019)
RR
Virginia(5/12/2014)
RR
Washington(1/18/2017)
RR
West Virginia(4/23/2009)
RR
Wisconsin(3/14/2018)
IAR
Wisconsin(6/1/2018)
RR
Wyoming(5/30/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 10/17/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/31/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 1/29/1973
Registered Representative ExaminationSRO 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.
