Mark DiPaola
JANNEY MONTGOMERY SCOTT LLC | Financial Advisor Associate
NEW HAVEN, CT 06511
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CRD#: 7245917
Professional summary
Mark DiPaola is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in New Haven, Connecticut.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Mark has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Biography
Mark joined Noble Wealth Advisors in March 2020 as a Financial Advisor Trainee. He has completed the Securities Industry Essentials (SIE) exam and the Series 7 with current plans to complete the Series 66 designation. Prior to joining the team, Mark fully operated all aspects of his family-owned Italian restaurant, Caffe Bravo, located nearby in East Rock. Prior to that, Mark worked for AT&T having completed the company’s Financial Leadership Program and having worked for three years in the Corporate Strategy department. Additionally, Mark has four years experience working for Winchester Capital, a boutique mergers & acquisitions advisory firm focused primarily on small-mid market transactions. Mark received a Bachelor of Engineering degree with majors in electrical engineering and mathematics from Vanderbilt University and graduated summa cum laude with an M.B.A. from Babson College with concentrations in finance and entrepreneurship.
Mark enjoys spending time with his wife and two children, is passionate about traveling and is a member of the board of Family Centered Services of CT, a New Haven social services non-profit focused on empowerment-based family support.
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. Family Centered Services of Connecticut, New Haven, CT; Not Investment Related; Nature: Family services/Agency to address domestic violence alongside child abuse. Title/Position: Board Member - Secretary; Devotes 3 hrs./mo.; Not compensated. 2. Caffe Bravo Ltd., New Haven, CT; Not Investment Related; Nature: Family Owned Restaurant; Duties: Help my parents (Owners) with administrative paperwork, review of financials and general consulting; Devotes 5 hrs./mo.; Not compensated. 3. Orange Cottage Enterprises LLC, New Haven, CT. Real estate rental Properties. Member/Owners of LLC (10/2023). Not investment related, 2 hours/month, profits distributed to LLC shareholders.
CRS (Client Relationship Summary) - RIA
Click below to view Mark DiPaola's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark DiPaola'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
August 24, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 321 Whitney Avenue, New Haven, CT 06511RIA
BD
CRD#: 463
NEW HAVEN, CT
Current
June 17, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 321 Whitney Avenue, New Haven, CT 06511RIA
BD
CRD#: 463
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
Alaska(8/24/2020)
RR
Arizona(8/24/2020)
RR
California(8/24/2020)
IAR
California(2/26/2024)
RR
Colorado(8/24/2020)
IAR
Colorado(2/26/2024)
RR
Connecticut(8/24/2020)
IAR
Connecticut(8/24/2020)
RR
District of Columbia(8/24/2020)
IAR
District of Columbia(9/24/2024)
RR
Florida(8/24/2020)
IAR
Florida(2/26/2024)
RR
Georgia(8/24/2020)
RR
Hawaii(8/24/2020)
RR
Illinois(8/24/2020)
RR
Indiana(9/23/2024)
RR
Kansas(8/24/2020)
RR
Kentucky(8/24/2020)
IAR
Kentucky(2/27/2024)
RR
Louisiana(7/21/2025)
RR
Maine(8/24/2020)
RR
Maryland(8/24/2020)
RR
Massachusetts(8/24/2020)
IAR
Massachusetts(7/24/2024)
RR
Michigan(8/24/2020)
RR
Minnesota(2/23/2024)
RR
Mississippi(8/24/2020)
RR
Missouri(8/24/2020)
RR
Montana(8/24/2020)
RR
New Hampshire(8/24/2020)
RR
New Jersey(8/24/2020)
IAR
New Jersey(2/26/2024)
RR
New York(8/24/2020)
IAR
New York(2/23/2024)
RR
North Carolina(8/25/2020)
IAR
North Carolina(2/26/2024)
RR
Ohio(8/24/2020)
RR
Oregon(8/24/2020)
RR
Pennsylvania(8/24/2020)
RR
Rhode Island(8/24/2020)
RR
South Carolina(8/24/2020)
RR
Tennessee(8/24/2020)
RR
Texas(8/24/2020)
IAR
Texas(8/24/2020)
RR
Utah(8/24/2020)
RR
Vermont(8/24/2020)
RR
Virginia(8/24/2020)
RR
Washington(8/24/2020)
RR
Wisconsin(8/24/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/17/2020
General Securities Representative ExaminationGeneral 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)
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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
Financial Advisor AssociateCRD#: 463New Haven, CT 06511TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
