Carolyn Ann Frzop

Employer firm

Janney Montgomery Scott LLC CRD 463

$110B regulatory AUM 1,031 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-04
NJ	RA	APPROVED	2019-11-19
NC	RA	APPROVED	2019-10-04
PA	RA	APPROVED	2019-10-03
CA	RA	APPROVED	2019-10-02
TX	RA	APPROVED_RES	2019-10-01
CT	RA	APPROVED	1990-09-14

NY RA
APPROVED

Since 2021-08-04
NJ RA
APPROVED

Since 2019-11-19
NC RA
APPROVED

Since 2019-10-04
PA RA
APPROVED

Since 2019-10-03
CA RA
APPROVED

Since 2019-10-02
TX RA
APPROVED_RES

Since 2019-10-01
CT RA
APPROVED

Since 1990-09-14

Branch Locations

Easton, CT • United States

1001 Franklin Avenue Suite 202, Garden City, NY 11530 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Janney Montgomery Scott Inc.	Fairfield	CT	11/1987	11/2020
Janney Montgomery Scott Llc	Garden City	NY	11/2020	Present

11/1987 → 11/2020

Janney Montgomery Scott Inc.

Fairfield, CT
11/2020 → Present

Janney Montgomery Scott Llc

Garden City, NY

Other Businesses

1) Rental property; Landlord; 927 Burroughs Road, Fairfield, CT 06825; start date 06/03/2016; i am compensated $3500 suggested monthly rent; 1hr/month; not investment related

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-10-10

S63 Uniform Securities Agent State Law Examination

1989-10-10

Other Names

Carolyn Frzop

View on SEC IAPD