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Gregory Mcshea

General Counsel at Janney Montgomery Scott

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

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Gregory Mcshea is General Counsel of Janney Montgomery Scott LLC, a Philadelphia investment adviser managing $110B. Gregory Mcshea has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at Janney Montgomery Scott

Title on Schedule A
General Counsel
Control
Gregory Mcshea is not a control person of Janney Montgomery Scott.
Ownership
An individual ownership band is not available in the source record.
Tenure
Gregory Mcshea has held the filed role since December 2012.

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 SIE · 2018
  2. Passed Series 24 · 2013
  3. Passed Series 4 · 2001
  4. Passed Series 7, Series 10, Series 9 and Series 14 · 2000

Registrations and exams

Broker registration; no current adviser registration. Gregory Mcshea has passed 7 qualifying exams.

Examinations

Series 2429 August 2013
Name
General Securities Principal Examination
Series 42 March 2001
Name
Registered Options Principal Examination
Series 141 December 2000
Name
Compliance Officer Examination
Series 107 July 2000
Name
General Securities Sales Supervisor - General Module Examination
Series 97 July 2000
Name
General Securities Sales Supervisor - Options Module Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 724 March 2000
Name
General Securities Representative Examination

Individual record

Full name
Gregory Burns Mcshea
CRD
2870963
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 Gregory Mcshea work?

Gregory Mcshea has been General Counsel of Janney Montgomery Scott LLC since December 2012.

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

Does Gregory Mcshea have a current investment-adviser registration?

Gregory Mcshea 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 Gregory Mcshea passed?

Gregory Mcshea has passed 7 licensing exams: the Series 7, Series 10, Series 9, Series 14, Series 4, Series 24 and SIE. The earliest, the Series 7, was passed in March 2000.

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
  • Brett Stephan Riggi
    Chief Operating Officer
  • Caroline Kathryne Hall
    Chief Compliance Officer
  • Daneen Elizabeth Downey
    Deputy General Counsel
  • Christopher Fusco
    ROSFP
  • Jessica Ellen Lempa
    Ia CCO
  • David Michael Mullan
    Principal Operations Officer
  • Kevin Jude Reed
    Executive Officer

Sources

  1. IAPD individual record, CRD 2870963. 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 Gregory Mcshea 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.