TL
Thomas J. Leary
JANNEY MONTGOMERY SCOTT LLC
Greenville, DE 19807
Some features on this profile are disabled
CRD#: 848347
TL
Professional summary
Thomas James Leary is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Greenville, Delaware.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 31, SIE, Series 3, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
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.
1. Vines of Sandhill HOA, Milton, DE; Not Investment Related; Nature: Home Owners Association/Local Governing/Advisory Board; Title/Position: Nominated for election to board in February 2022. Start Date TBD. Board member is an advisory role. No administrative duties such as Treasurer etc. Duties: serve as liaison between residents and the developer and management company; Devotes 3 hours/month; Not compensated. 2. State of Delaware/Sussex County Dept of Elections, Georgetown, DE. Election Inspector (03/2024) - Assist in general conduct of election day activities. Compensated, not investment related, Full Day (Sept & Nov).
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Leary's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas James Leary'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
June 1, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 20 Montchanin Road Suite 120, Greenville, DE 19807Office #2: 12001 Old Vine Blvd. Unit #106, Lewes, DE 19958RIA
BD
CRD#: 463
Greenville, DE
Current
June 1, 2018 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 20 Montchanin Road Suite 120, Greenville, DE 19807Office #2: 12001 Old Vine Blvd. Unit #106, Lewes, DE 19958RIA
BD
CRD#: 463
Greenville, DE
Past
September 23, 2011 - June 4, 2018
MORGAN STANLEY
RIA
CRD#: 149777
REHOBOTH BEACH, DE
Past
September 23, 2011 - June 4, 2018
MORGAN STANLEY
BD
CRD#: 149777
REHOBOTH BEACH, DE
Past
November 17, 2006 - September 27, 2011
EDWARD JONES
RIA
CRD#: 250
DOVER, DE
Past
November 19, 2001 - September 27, 2011
EDWARD JONES
BD
CRD#: 250
DOVER, DE
Past
January 22, 1996 - November 27, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 28, 1982 - January 24, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 2, 1982 - November 10, 1982
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
February 1, 1978 - June 21, 1982
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BD
CRD#: 839
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
Arkansas(3/1/2022)
RR
California(6/1/2018)
RR
Colorado(3/1/2022)
RR
Connecticut(6/1/2018)
RR
Delaware(6/1/2018)
IAR
Delaware(6/1/2018)
RR
District of Columbia(6/1/2018)
RR
Florida(6/1/2018)
RR
Georgia(6/1/2018)
RR
Idaho(6/1/2018)
RR
Illinois(3/1/2022)
RR
Indiana(3/1/2022)
RR
Kentucky(3/1/2022)
RR
Maine(3/1/2022)
RR
Maryland(6/1/2018)
RR
Massachusetts(6/1/2018)
RR
Minnesota(3/1/2022)
RR
Mississippi(3/1/2022)
RR
Montana(7/12/2022)
RR
Nebraska(3/1/2022)
RR
Nevada(8/25/2020)
RR
New Jersey(6/1/2018)
RR
New Mexico(3/1/2022)
RR
New York(6/1/2018)
RR
North Carolina(6/1/2018)
RR
North Dakota(3/1/2022)
RR
Ohio(6/1/2018)
RR
Oklahoma(3/1/2022)
RR
Oregon(6/1/2018)
RR
Pennsylvania(6/1/2018)
RR
Puerto Rico(3/1/2022)
RR
Rhode Island(3/1/2022)
RR
South Carolina(3/1/2022)
RR
South Dakota(3/1/2022)
RR
Tennessee(6/1/2018)
RR
Texas(6/1/2018)
IAR
Texas(6/1/2018)
RR
Utah(3/1/2022)
RR
Vermont(3/1/2022)
RR
Virginia(6/1/2018)
RR
Washington(3/1/2022)
RR
West Virginia(11/11/2024)
RR
Wisconsin(6/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/20/1989
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
CRD#: 463Greenville, DE 19807TRUST BUT VERIFY
Monitor Thomas Leary
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
