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Lynne Rosenfeld

Janney Montgomery Scott LLC

New Haven, CT

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-05-17
CT RA APPROVED 2017-03-09
  • TX RA
    APPROVED_RES
    Since 2025-05-17
  • CT RA
    APPROVED
    Since 2017-03-09

Branch Locations

555 Long Wharf Drive Long Wharf Maritime Center, 11Th Floor, New Haven, CT 06511 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Haven CT 05/2016 02/2017
Janney Montgomery Scott Llc New Haven CT 02/2017 05/2025
Janney Montgomery Scott Llc New Haven CT 05/2025 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-05-13
S65 Uniform Investment Adviser Law Examination 1994-10-17
  • S63 Uniform Securities Agent State Law Examination
    2025-05-13
  • S65 Uniform Investment Adviser Law Examination
    1994-10-17
Other Names
  • Lynne Rosenbaum

View on SEC IAPD

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