Christopher D. Mahoney
JANNEY MONTGOMERY SCOTT LLC | Executive Vice President
Charlotte, NC 28211
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CRD#: 844399
Professional summary
Christopher Dane Mahoney is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Charlotte, North Carolina.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Christopher has worked at 8 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Financial planning
Trading individual securities
Trust & estate planning
Executive services/Equity comp...
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
100K
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Dane Mahoney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Dane Mahoney'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
September 23, 2010 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Current
September 23, 2010 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Past
January 18, 2006 - September 28, 2010
STEPHENS
RIA
CRD#: 3496
CHARLOTTE, NC
Past
January 18, 2006 - September 28, 2010
STEPHENS
BD
CRD#: 3496
CHARLOTTE, NC
Past
December 31, 2001 - January 31, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
CHARLOTTE, NC
Past
September 15, 1988 - January 31, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
November 10, 1986 - August 29, 1988
THE PINNACLE GROUP, INC.
BD
CRD#: 17048
Past
January 31, 1980 - December 23, 1986
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
November 8, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
Past
September 26, 1978 - November 19, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
October 26, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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
Alabama(10/4/2010)
RR
Arizona(10/4/2010)
RR
California(10/4/2010)
RR
Colorado(5/21/2015)
RR
Connecticut(10/4/2010)
RR
District of Columbia(12/12/2019)
RR
Florida(10/5/2010)
IAR
Florida(10/15/2010)
RR
Georgia(10/4/2010)
IAR
Georgia(10/14/2010)
RR
Hawaii(6/9/2022)
RR
Idaho(11/2/2021)
RR
Illinois(10/4/2010)
RR
Indiana(10/5/2010)
RR
Kansas(9/16/2024)
RR
Kentucky(10/7/2021)
RR
Maine(10/4/2010)
RR
Maryland(1/3/2011)
RR
Massachusetts(10/5/2010)
RR
Michigan(4/24/2023)
RR
Minnesota(4/16/2015)
RR
Missouri(3/18/2020)
RR
New Hampshire(6/9/2022)
RR
New Jersey(10/4/2010)
IAR
New Jersey(10/14/2010)
RR
New York(10/4/2010)
RR
North Carolina(9/23/2010)
IAR
North Carolina(9/23/2010)
RR
Oregon(8/5/2015)
RR
Pennsylvania(9/23/2010)
RR
South Carolina(10/7/2010)
RR
Tennessee(10/4/2010)
RR
Texas(10/4/2010)
IAR
Texas(10/13/2010)
RR
Virginia(2/27/2015)
RR
Washington(1/8/2019)
RR
West Virginia(8/11/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/19/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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
Executive Vice PresidentCRD#: 463Charlotte, NC 28211TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
