Arnold M. Rudiger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arnold Mark Rudiger JR, who also goes by Mark Rudiger, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1974. Arnold had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2006 - December 9, 2016
JANNEY MONTGOMERY SCOTT LLC
May 19, 2006 - December 9, 2016
JANNEY MONTGOMERY SCOTT LLC
January 1, 2004 - May 30, 2006
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - May 30, 2006
PNC WEALTH MANAGEMENT LLC
June 13, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
June 2, 2000 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
February 13, 1996 - June 5, 2000
LEGG MASON WOOD WALKER, INCORPORATED
November 4, 1991 - February 6, 1996
BOENNING & SCATTERGOOD, INC.
August 25, 1989 - September 13, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - November 12, 1991
JANNEY MONTGOMERY SCOTT LLC
April 21, 1983 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
April 15, 1977 - April 12, 1983
BUTCHER & SINGER INC.
October 23, 1974 - May 22, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 8/12/1987
Foreign Currency Options ExaminationSeries 5
Date: 6/30/1987
Interest Rate Options ExaminationPC
Date: 1/31/1985
AMEX Put and Call ExamSeries 8
Date: 5/8/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
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 | |
| 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.
