MM
Mario I. Medina
JANNEY MONTGOMERY SCOTT LLC
Ft. Lauderdale, FL 33301
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CRD#: 5833391
MM
Professional summary
Mario Ignacio Medina is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Ft. Lauderdale, Florida.
Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Mario has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) PLG Creations, LLC; A content creation company dedicated to developing online content in the video game/streaming community via Mixer.com; 1542 SW 137th Ct. Miami, FL 33184; Start date: 02/05/2020; President/manager; I am the owner/operator of the company. The company will be the main vehicle for receiving compensation for streaming my gameplay; compensation will vary based on viewership of the streams; 30hrs/month; 2hr/day; Not Investment-related 2) Mother of Christ Catholic School D.A.D.S. Club, Miami, FL; Not Investment Related; Nature: Club consists of fathers and father figures at my sons' school who want to be actively involved with the school/church activities and assisting with said activities on a volunteer basis; Title/Position: Volunteer; Duties: Volunteer to help with school related functions; Devotes 1 hour/month; Not compensated.
CRS (Client Relationship Summary) - RIA
Click below to view Mario Ignacio Medina's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mario Ignacio Medina'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
June 4, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 200 Sw First Avenue Suite 900, Ft. Lauderdale, FL 33301RIA
BD
CRD#: 463
Ft. Lauderdale, FL
Current
June 1, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 200 Sw First Avenue Suite 900, Ft. Lauderdale, FL 33301RIA
BD
CRD#: 463
Ft. Lauderdale, FL
Past
April 17, 2015 - June 1, 2018
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
CORAL GABLES, FL
Past
May 5, 2011 - June 1, 2018
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
CORAL GABLES, FL
Past
November 8, 2010 - April 15, 2011
1ST BRIDGEHOUSE SECURITIES, LLC
BD
CRD#: 44655
CORAL GABLES, FL
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
Arkansas(1/2/2024)
RR
California(7/27/2020)
RR
Colorado(7/27/2020)
RR
Connecticut(7/27/2020)
RR
District of Columbia(6/1/2018)
RR
Florida(6/1/2018)
IAR
Florida(6/4/2018)
RR
Georgia(8/8/2018)
IAR
Georgia(7/5/2024)
RR
Idaho(11/21/2019)
RR
Illinois(7/27/2020)
RR
Indiana(7/27/2020)
RR
Kentucky(8/8/2018)
RR
Louisiana(10/18/2019)
RR
Maine(1/2/2024)
RR
Maryland(7/27/2020)
RR
Massachusetts(10/18/2019)
RR
Minnesota(1/2/2024)
RR
Mississippi(1/2/2024)
RR
Nebraska(1/2/2024)
RR
Nevada(1/2/2024)
RR
New Hampshire(7/27/2020)
RR
New Jersey(7/27/2020)
RR
New Mexico(1/2/2024)
RR
New York(8/8/2018)
RR
North Carolina(8/8/2018)
RR
North Dakota(1/2/2024)
RR
Ohio(1/3/2020)
RR
Oklahoma(1/2/2024)
RR
Oregon(7/27/2020)
RR
Pennsylvania(8/8/2018)
RR
Puerto Rico(1/2/2024)
RR
Rhode Island(1/2/2024)
RR
South Carolina(8/8/2018)
RR
South Dakota(1/2/2024)
RR
Tennessee(8/8/2018)
RR
Texas(8/3/2018)
IAR
Texas(8/7/2018)
RR
Utah(1/2/2024)
RR
Vermont(7/27/2020)
RR
Virginia(8/8/2018)
RR
Washington(1/2/2024)
RR
Wisconsin(1/2/2024)
RR
Wyoming(8/8/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
CRD#: 463Ft. Lauderdale, FL 33301TRUST BUT VERIFY
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