JANNEY CAPITAL MANAGEMENT LLC of PITTSBURGH, PA is an SEC-registered investment adviser (CRD 159506). Regulatory assets under management: $5.3B.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Mark Daniel Luschini | PRESIDENT & MANAGER | — |
| James Murray Egan | SENIOR VICE PRESIDENT | — |
| Kevin Jude Reed | MANAGER | — |
| Jessica Ellen Lempa | CHIEF COMPLIANCE OFFICER | — |
| Michael J Hricko | TREASURER | — |
| John Campbell Yackel | CHAIRMAN & MANAGER | — |
| LUSCHINI MARK DANIEL | MANAGER & VICE PRESIDENT; PRESIDENT & MANAGER | — |
| SLOMIN ROBERT PAUL | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | — |
| PENN DAVID STUART | CHAIRMAN & MANAGER; MANAGER & PRESIDENT | — |
| DOWNEY DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL; DEPUTY GENERAL COUNSEL - CHIEF COMPLIANCE OFFICER; DEPUTY GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| SLEVIN TIMOTHY MAURICE | VICE PRESIDENT | — |
| EGAN JAMES MURRAY | SENIOR VICE PRESIDENT; VICE PRESIDENT | — |
| HOHENSTEIN THOMAS A | TREASURER | — |
| HOLINSKY RONALD ALAN | CHIEF LEGAL OFFICER | — |
| LYDZINSKI PETER PAUL | CHIEF COMPLIANCE OFFICER | — |
| LOMBARD JEROME FRANCIS | MANAGER | — |
| COWDEN DWIGHT | CHIEF ADMINISTRATIVE OFFICER | — |
| REED KEVIN JUDE | CHAIRMAN & MANAGER; MANAGER | — |
| THURSTON CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER | — |
| WILLIAMS TIMOTHY HOWELL | VICE PRESIDENT | — |
| JAY ROBERT WILLIAM | CHIEF ADMINISTRATIVE OFFICER | — |
| Allison Dorothy Marie | CHIEF COMPLIANCE OFFICER | — |
| LEMPA JESSICA ELLEN | CHIEF COMPLIANCE OFFICER | — |
| HRICKO MICHAEL J | TREASURER | — |
| YACKEL JOHN CAMPBELL | CHAIRMAN & MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-23 | regulatory | FINRA ALLEGED THAT JANNEY DID NOT ACCURATELY REPORT CERTAIN TRANSACTIONS TO THE MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") FROM JULY 2019 TO MAY 2021; AND TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE") FROM MARCH 2022 TO MARCH 2023. FINRA ALSO ALLEGED THAT JANNEY DID NOT HAVE PROPER SUPERVISORY… | Final | $150K |
| 2019-05-07 | regulatory | SALES PRACTICE VIOLATIONS INVOLVING SHORT TERM TRADING IN CLASS A SHARES OF MUTUAL FUNDS BY AN ADVISORY WHO LEFT JANNEY IN 2018. | Final | $287K |
| 1993-12-09 | regulatory | FAILURE TO SUPERVISE; VIOLATION OF SECTION 305(A)(VII) OF THE PA SECURITIES ACT. | Final | $100K |
| — | regulatory | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| PHILADELPHIA | PA | 3 | 2156656000 |
| PHILADELPHIA | PA | 3 | 2156656000 |