Charles R. Gifford
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.
Charles Robert Gifford, who also goes by Bob Gifford, Robert Gifford, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 7 firms and has passed the Series 65, Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2007 - March 17, 2014
JANNEY MONTGOMERY SCOTT LLC
June 1, 2007 - March 17, 2014
JANNEY MONTGOMERY SCOTT LLC
June 21, 2002 - June 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - June 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2002 - June 21, 2002
WACHOVIA SECURITIES, INC.
April 22, 1994 - June 15, 2002
WACHOVIA SECURITIES, INC.
March 31, 1994 - April 22, 1994
WACHOVIA SECURITIES, INC.
March 7, 1989 - April 11, 1994
CITIGROUP GLOBAL MARKETS INC.
October 14, 1988 - March 13, 1989
WACHOVIA SECURITIES, INC.
December 13, 1985 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
June 20, 1985 - December 12, 1985
WILLIAM BLAIR
December 1, 1976 - June 12, 1985
E. F. HUTTON & COMPANY 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
PC
Date: 8/2/1994
AMEX Put and Call ExamCurrent 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.
