John R. Atchison
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.
John Robert Atchison was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 15 firms and has passed the Series 63, SIE, PC, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2014 - July 25, 2018
JANNEY MONTGOMERY SCOTT LLC
March 13, 2012 - September 29, 2014
MESIROW FINANCIAL, INC.
November 8, 2005 - October 13, 2006
CANTOR FITZGERALD SECURITIES
July 14, 2004 - February 29, 2012
CANTOR FITZGERALD & CO.
November 20, 2002 - July 26, 2004
BONDS DIRECT SECURITIES LLC
October 1, 1998 - October 7, 2002
BANC OF AMERICA SECURITIES LLC
March 21, 1995 - October 1, 1998
BANCAMERICA SECURITIES, INC.
March 7, 1994 - March 21, 1995
MESIROW FINANCIAL, INC.
March 26, 1993 - March 23, 1994
PERSHING LLC
November 6, 1991 - April 5, 1993
KIDDER, PEABODY & CO. INCORPORATED
January 31, 1983 - November 22, 1991
LEHMAN BROTHERS INC.
February 14, 1980 - December 16, 1982
BECKER PARIBAS INCORPORATED
May 15, 1978 - October 18, 1979
BLUNT ELLIS & LOEWI INCORPORATED
January 18, 1978 - June 26, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
March 12, 1970 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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: 5/1/1977
AMEX Put and Call ExamSeries 000
Date: 3/11/1970
General Securities Principal ExaminationSeries 1
Date: 3/11/1970
Registered Representative ExaminationSeries 40
Date: 10/27/1978
Registered Principal ExaminationCurrent 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.
