John F. Bacon
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 Frederick Bacon, who also goes by John Frederic Bacon, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1971. John had worked at 15 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1994 - January 29, 2025
JANNEY MONTGOMERY SCOTT LLC
December 16, 1985 - January 29, 2025
JANNEY MONTGOMERY SCOTT LLC
November 8, 1984 - November 18, 1985
HARTFIELD, TITUS & DONNELLY, LLC
February 14, 1984 - November 2, 1984
KEANE SECURITIES CO., INC.
June 8, 1982 - January 24, 1984
ROBERT THOMAS SECURITIES, INC
July 16, 1980 - November 5, 1981
THOMSON MCKINNON SECURITIES INC.
December 7, 1979 - July 20, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 1977 - October 20, 1978
HSBC BROKERAGE (USA) INC.
August 11, 1977 - September 25, 1977
CHESTER HARRIS & COMPANY, INCORPORATED
May 16, 1977 - July 6, 1977
DONALD SHELDON & CO., INC.
June 9, 1976 - December 22, 1976
HALCYON SECURITIES, INC.
September 10, 1975 - June 21, 1976
BERNARD HEROLD & CO., INC.
October 31, 1973 - July 22, 1975
L. F. ROTHSCHILD & CO. INCORPORATED
August 29, 1973 - November 24, 1973
REYNOLDS SECURITIES, INC.
July 7, 1972 - September 23, 1973
DOMIK CORP.
March 15, 1971 - July 19, 1972
LEGG MASON WOOD WALKER, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 5/12/1987
AMEX Put and Call ExamSeries 1
Date: 2/6/1961
Registered Representative 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.
