LC
Leo M. Connors
JANNEY MONTGOMERY SCOTT LLC
NEW HAVEN, CT 06511
Some features on this profile are disabled
CRD#: 4727345
LC
Professional summary
Leo Michael Connors JR, CFP®, who also goes by Leo Michael Connors, Leo M Connors Jr, Leo Michael Connors Jr Jr, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in New Haven, Connecticut.
Leo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Leo has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leo Michael Connors | Leo M Connors Jr | Leo Michael Connors Jr 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.
1) Central Connecticut Coast YMCA; community-focused Non-profit for youth development, healthy living and social responsibility; 1240 Chapel St. New Haven, CT 06511; start date 09/01/2014; Board Member; work closely with other board members to ensure delivery of mission; 2 hrs/month; 0.05 hrs/day; Not investment-related. 2) Central Connecticut Coast YMCA - Investment Committee; The CCC YMCA strives for youth development, healthy living and social responsibility; 1240 Chapel St. New Haven, CT 06511; start date 01/01/2014; In addition to my board service, i have been asked to serve on the investment committee. My role will be to provide oversight management to the investments; 2hr/month; 0.10hr/day; Service will be as "prudent person" and will report bi-annually to the board regarding performance of the fund; Investment-related
CRS (Client Relationship Summary) - RIA
Click below to view Leo Michael Connors JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leo Michael Connors 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®
CFP®
Start date: 2020
Experience
Current
May 22, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 555 Long Wharf Drive Long Wharf Maritime Center 11th Floor, New Haven, CT, 06511RIA
BD
CRD#: 463
NEW HAVEN, CT
Current
May 22, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 555 Long Wharf Drive Long Wharf Maritime Center 11th Floor, New Haven, CT, 06511RIA
BD
CRD#: 463
NEW HAVEN, CT
Past
August 1, 2005 - May 23, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW HAVEN, CT
Past
February 23, 2005 - May 23, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW HAVEN, CT
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
California(5/22/2018)
RR
Colorado(2/14/2022)
RR
Connecticut(5/22/2018)
IAR
Connecticut(5/22/2018)
RR
District of Columbia(5/8/2024)
RR
Florida(5/22/2018)
RR
Georgia(5/8/2024)
RR
Illinois(11/30/2020)
RR
Maine(5/22/2018)
RR
Maryland(5/22/2018)
RR
Massachusetts(5/22/2018)
RR
Missouri(9/29/2022)
RR
New Hampshire(5/22/2018)
RR
New Jersey(5/22/2018)
RR
New York(5/22/2018)
RR
Oregon(5/8/2024)
RR
Pennsylvania(7/14/2025)
RR
Puerto Rico(5/8/2024)
RR
Rhode Island(5/22/2018)
RR
South Carolina(5/22/2018)
RR
Vermont(4/18/2023)
RR
Virgin Islands(10/17/2023)
RR
Wisconsin(5/22/2018)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
CRD#: 463New Haven, CT 06511TRUST BUT VERIFY
Monitor Leo Connors
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
