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1717 Arch Street, Philadelphia, PA 19103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-05-29 |
| CA | RA | APPROVED | 2009-05-14 |
| PA | RA | APPROVED | 2006-03-30 |
Branch Locations
1717 Arch Street 21St Floor, Philadelphia, PA 19103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Philadelphia | PA | 10/2002 | Present |
1) NYSE EXCHANGE HEARING BOARD. 20 BROAD ST. NY, NY 10005. PANELIST FOR PHILADELPHIA REGION. ADJUDICATES DISCIPLINARY CHARGES BROUGHT AGAINST INDIVIDUALS & MEMBER ORGANIZATIONS BY REGULATORY DIVISIONS OF THE EXCHANGE. STARTED 06/2003. 2) NEW YORK STOCK EXCHANGE (NYSE), NEW YORK, NY. HEARING BOARD EXAMINER; SERVE ON BOARD FOR STATE OF PA TO HEAR ABRITRATION CLAIMS. NOT COMPENSATED, INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 1988-02-04 |
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