Daniel D. Tidwell
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.
Daniel David Tidwell, who also goes by Dan Tidwell, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1976. Daniel had worked at 6 firms and has passed the Series 65, Series 63, SIE, PC, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2018 - January 29, 2025
JANNEY MONTGOMERY SCOTT LLC
November 2, 2017 - November 7, 2017
JANNEY MONTGOMERY SCOTT LLC
November 2, 2017 - January 29, 2025
JANNEY MONTGOMERY SCOTT LLC
June 1, 2009 - November 3, 2017
MORGAN STANLEY
June 1, 2009 - November 3, 2017
MORGAN STANLEY
August 17, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 17, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 1, 1998 - August 21, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 1994 - August 21, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 1982 - November 9, 1994
MORGAN STANLEY DW INC.
January 24, 1977 - June 13, 1983
W. N. WHELEN & CO., INC.
October 21, 1976 - March 26, 1977
JANNEY MONTGOMERY SCOTT LLC
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
PC
Date: 7/29/1982
AMEX Put and Call ExamSeries 8
Date: 8/15/1987
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 | |
| 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.
