Stephen J. Spahr

Some features on this profile are disabled

CRD#: 865189

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.

Stephen James Spahr was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1979. Stephen had worked at 7 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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 GUIONES HOLDINGS, LLC ADDRESS: 1311 3RD STREET SOUTH, NAPLES, FL; NATURE: HOLDING COMPANY FOR A RETAIL BUSINESS OWNED BY MY WIFE. POSITION/TITLE: BUSINESS OWNER/PARTNER; INVESTMENT RELATED; START DATE: 08/01/2011; DEVOTES: 20 HOURS PER MONTH; DUTIES: STRATEGY, FUNDING, MERCHANDISE BUYER, SOME CLERKING, SALES/MARKETING. No official duties effective 01/2022. #2 First Pearl Acquisitions; investment related; 8898 Highway A1A, Melbourne Beach, FL 32951; Nature: Real Estate/Retail; Position: Partner; Start: 01/01/2004; Devotes less than 1 hour per month and 0 during trading hours; No duties, silent financial partner; I am simply an original investor in the underlying real estate for the business, not an employee in any sense. Not compensated. #3 Hidden Beaches of Nosara, LLC; Not investment related; Nosara, Costa Rica; Nature: Real Estate Holding Company; Position: Partner; Start: 01/01/2005; Devotes: 2 hours per month and 0 during trading hours; Duties: Nothing formal - provide information to potential owners; Not compensated. 4) Winged Foot Scholarship Foundation; athletic/academic scholarship organization; 1395 Panther Lane Ste. 100, Naples, FL 34109; start date 01/01/1994; Board member; fund raising/administration of board; not compensated; entity has account at Janney; account #: 8622-2842; Not investment-related

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 6555

NAPLES, FL

Past

November 29, 1984 - March 18, 1986

PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC.

CRD#: 65

Past

May 1, 1979 - January 31, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 6/21/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JANNEY MONTGOMERY SCOTT WRAP FEE DISCLOSURE BROCHURE (10/3/2025)

JANNEY MONTGOMERY SCOTT INVESTMENT MANAGEMENT DISCLOSURE BROCHURE (10/3/2025)

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	Cover Page	Report
03/21/2025	Cover Page	Report
10/09/2024	Cover Page	Report
10/26/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen J. Spahr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

JANNEY MONTGOMERY SCOTT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/23/1981

SIE

Date: 10/1/2018

Series 5

Date: 11/13/1981

Series 7

Date: 4/21/1979

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 6/21/1995

Current Firm

JANNEY MONTGOMERY SCOTT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

JANNEY MONTGOMERY SCOTT LLC

TRUST BUT VERIFY

Similar Advisors