Career
David Mullan has been Principal Operations Officer of Janney Montgomery Scott since October 2018. David Mullan is not listed as a control person, but directly owns under 5% of the firm. David Mullan holds a Bachelor’s Degree from Pennsylvania State University.
Janney Montgomery Scott LLC is a Philadelphia, PA firm with $110B under management, 243,808 clients and 1,614 advisers across 139 offices, as of its June 2026 filing.
David Mullan is Head of Operations at Janney Montgomery Scott. He leads the firm’s operations organization, with a focus on service excellence and operational efficiency. He joined Janney in 2007 after more than 11 years at Morgan Stanley, where he most recently was Vice President and Manager of Performance Reporting.
No adviser firm registrations are on David Mullan’s record.
Credentials and registrations
Professional designations
Listed by Janney Montgomery Scott
- Certificate in Investment Performance Measurement (CIPM), as stated by the firm.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 14 March 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 27 | Financial and Operations Principal Examination | 19 November 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 April 1997 |
| Series 7 | General Securities Representative Examination | 23 January 1997 |
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Financial and Operations Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- David Michael Mullan
- CRD
- 2739186
- Firm bio
- janney.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does David Mullan work?
David Mullan has been Principal Operations Officer of Janney Montgomery Scott LLC since October 2018.
Does David Mullan have a current investment-adviser registration?
David Mullan has a current broker registration and no current investment-adviser registration.
What exams has David Mullan passed?
David Mullan has passed 5 licensing exams: the Series 7, Series 63, Series 27, Series 99TO and Series 24. The earliest, the Series 7, was passed in January 1997. FINRA credited David Mullan with the SIE, which began in October 2018.
