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Brett Riggi

Chief Operating Officer at Janney Montgomery Scott

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Brett Riggi is Chief Operating Officer of Janney Montgomery Scott LLC, a Philadelphia investment adviser managing $110B. Brett Riggi has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Janney Montgomery Scott

Title on Schedule A
Chief Operating Officer
Control
Brett Riggi is not a control person of Janney Montgomery Scott.
Ownership
An individual ownership band is not available in the source record.
Tenure
Brett Riggi has held the filed role since February 2025.

The firm

Janney Montgomery Scott LLC
Philadelphia, PA

Form ADV filed 30 June 2026

$110B AUM243,808 clients1,614 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 27 · 2025
  2. Passed Series 24 · 2024
  3. Passed Series 99TO · 2023
  4. Passed SIE · 2018
  5. Passed Series 7 · 2001

Registrations and exams

Broker registration; no current adviser registration. Brett Riggi has passed 5 qualifying exams.

Examinations

Series 278 September 2025
Name
Financial and Operations Principal Examination
Series 247 October 2024
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 717 December 2001
Name
General Securities Representative Examination

Individual record

Full name
Brett Stephan Riggi
CRD
4462496
Firm
Janney Montgomery Scott LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Brett Riggi work?

Brett Riggi has been Chief Operating Officer of Janney Montgomery Scott LLC since February 2025.

Source: Form ADV, Schedule A, filed 30 June 2026

Does Brett Riggi have a current investment-adviser registration?

Brett Riggi has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Brett Riggi passed?

Brett Riggi has passed 5 licensing exams: the Series 7, SIE, Series 99TO, Series 24 and Series 27. The earliest, the Series 7, was passed in December 2001.

Source: IAPD individual record, checked 17 October 2026

Leadership at Janney Montgomery Scott

  • Anthony Matthew Miller
    Director, President and CEO
  • Michael J Hricko
    Chief Financial Officer
  • Caroline Kathryne Hall
    Chief Compliance Officer
  • Daneen Elizabeth Downey
    Deputy General Counsel
  • Christopher Fusco
    ROSFP
  • Jessica Ellen Lempa
    Ia CCO
  • Gregory Burns McShea
    General Counsel
  • David Michael Mullan
    Principal Operations Officer
  • Kevin Jude Reed
    Executive Officer

Sources

  1. IAPD individual record, CRD 4462496. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Janney Montgomery Scott LLC, filed 30 June 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Brett Riggi or Janney Montgomery Scott LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.