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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 2020-03-03
OH RA APPROVED 2019-10-21
CO RA APPROVED 2019-09-19
GA RA APPROVED 2019-08-14
MN RA APPROVED 2019-08-08
SC RA APPROVED 2019-08-06
CA RA APPROVED 2019-07-30
NJ RA APPROVED 2019-07-30
OR RA APPROVED 2019-07-30
VA RA APPROVED 2019-07-30
AZ RA APPROVED 2019-07-29
IN RA APPROVED 2019-07-29
LA RA APPROVED 2019-07-29
MD RA APPROVED 2019-07-29
WA RA APPROVED 2019-07-29
NC RA APPROVED 2008-10-23
FL RA APPROVED 2005-06-16
  • TX RA
    APPROVED_RES
    Since 2020-03-03
  • OH RA
    APPROVED
    Since 2019-10-21
  • CO RA
    APPROVED
    Since 2019-09-19
  • GA RA
    APPROVED
    Since 2019-08-14
  • MN RA
    APPROVED
    Since 2019-08-08
  • SC RA
    APPROVED
    Since 2019-08-06
  • CA RA
    APPROVED
    Since 2019-07-30
  • NJ RA
    APPROVED
    Since 2019-07-30
  • OR RA
    APPROVED
    Since 2019-07-30
  • VA RA
    APPROVED
    Since 2019-07-30
  • AZ RA
    APPROVED
    Since 2019-07-29
  • IN RA
    APPROVED
    Since 2019-07-29
  • LA RA
    APPROVED
    Since 2019-07-29
  • MD RA
    APPROVED
    Since 2019-07-29
  • WA RA
    APPROVED
    Since 2019-07-29
  • NC RA
    APPROVED
    Since 2008-10-23
  • FL RA
    APPROVED
    Since 2005-06-16

Branch Locations

Jacksonville, FL • United States

814 North Highway A1A Suite 203, Ponte Vedra Beach, FL 32082-3298 • 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
OrganizationCityStateFromTo
Janney Montgomery Scott Llc Ponte Vedra FL 03/2001 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-14
S63 Uniform Securities Agent State Law Examination 1989-03-22
  • S65 Uniform Investment Adviser Law Examination
    2005-06-14
  • S63 Uniform Securities Agent State Law Examination
    1989-03-22
Other Names
  • Jim Newman

View on SEC IAPD

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