DJ
Dino J. Johnson
JANNEY MONTGOMERY SCOTT LLC
ALBANY, NY 12211
Some features on this profile are disabled
CRD#: 6038781
DJ
Professional summary
Dino Joseph Johnson is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Albany, New York.
Dino is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Dino has worked at 6 firms and has passed the Series 66, SIE and Series 7 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) Name of Business: Steward Partners Investment Advisory LLC Address: 677 Broadway Fl 12, Albany, NY, 12207, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: Yes Start Date: 09/22/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: To provide advisory services to clients 2) Steward Partners Global Advisory. Address: 677 Broadway FL 12,Albany, NY Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Advisor Investment Related: No Start Date: 09/22/2016 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: providing financial advice. 3) Steward Partners Global Advisory. Address: 677 Broadway 12th Floor, Albany, NY Nature of the Business: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 04/26/2018 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Install insurance products listed. 4) Name of Business : Johnson Wealth Management Address: 677 Broadway FL 12,Albany, NY Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related: No Start Date: 09/22/2016 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Financial Advisor
CRS (Client Relationship Summary) - RIA
Click below to view Dino Joseph Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dino Joseph Johnson'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
February 15, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 22 Corporate Woods Boulevard 4th Floor, Albany, NY 12211RIA
BD
CRD#: 463
ALBANY, NY
Current
February 15, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 22 Corporate Woods Boulevard 4th Floor, Albany, NY 12211RIA
BD
CRD#: 463
ALBANY, NY
Past
May 27, 2022 - February 27, 2024
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BD
CRD#: 1254
ALBANY, NY
Past
November 21, 2016 - February 27, 2024
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RIA
CRD#: 283004
ALBANY, NY
Past
September 22, 2016 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ALBANY, NY
Past
May 16, 2014 - September 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ALBANY, NY
Past
March 10, 2014 - September 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ALBANY, NY
Past
October 10, 2013 - October 31, 2013
MCBARRON CAPITAL LLC
BD
CRD#: 131431
NEW YORK, NY
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(8/23/2024)
RR
Arizona(2/15/2024)
RR
Arkansas(10/9/2025)
RR
California(2/15/2024)
RR
Colorado(2/15/2024)
RR
Connecticut(2/15/2024)
RR
Florida(2/15/2024)
RR
Hawaii(2/15/2024)
RR
Illinois(2/15/2024)
RR
Maryland(2/15/2024)
RR
Massachusetts(2/15/2024)
RR
Nevada(2/15/2024)
RR
New Hampshire(2/26/2024)
RR
New Jersey(2/15/2024)
RR
New Mexico(2/15/2024)
RR
New York(2/15/2024)
IAR
New York(2/15/2024)
RR
North Carolina(3/1/2024)
RR
Ohio(2/15/2024)
RR
Pennsylvania(3/24/2025)
RR
Rhode Island(2/15/2024)
RR
South Carolina(3/5/2024)
RR
Tennessee(2/15/2024)
RR
Texas(2/15/2024)
IAR
Texas(2/15/2024)
RR
Vermont(2/15/2024)
RR
Virginia(3/6/2024)
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.
