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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2018-12-04
  • CT RA
    APPROVED
    Since 2018-12-04

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
Prudential Insurance Co Of America Shelton CT 08/2007 07/2017
Prudential Annuities Distributors Shelton CT 11/2007 07/2017
Janney Montgomery Scott Llc New Haven CT 07/2018 12/2018
Unemployed East Haven CT 07/2017 07/2018
Janney Montgomery Scott Llc New Haven CT 12/2018 Present
  • 08/2007 → 07/2017
    Prudential Insurance Co Of America
    Shelton, CT
  • 11/2007 → 07/2017
    Prudential Annuities Distributors
    Shelton, CT
  • 07/2018 → 12/2018
    New Haven, CT
  • 07/2017 → 07/2018
    Unemployed
    East Haven, CT
  • 12/2018 → Present
    New Haven, CT
Other Businesses

1) Leeway Inc., New Haven, CT; Not Investment Related; Nature: free-standing skilled nursing center; Title/Position: Board of Directors Member; Duties: Provide direction for the organization including recruit, supervise, retain and evaluate the manager/Govern the organization and the relationship with the CEO; Devotes 3 hours/month; Start 03/2022; Not compensated. 2) NeighborWorks; Not Investment Related; Nature: New Horizons strengthens neighborhoods by developing quality affordable homes and supporting community building initiatives along with Optimizing property values and ensure harmonious living environments for the community.in New Haven, Fairfield, Southern Hartford and New London Counties; Title/Positions: Board Member and Property Management Committee ; Devotes 2 hours/month; Not compensated. 3) New Haven Reads, New Haven, CT 06511. Reading Tutor (04/2022). Not investment related, not compensated, 4 hours/month.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-12-03
S63 Uniform Securities Agent State Law Examination 2001-05-07
  • S65 Uniform Investment Adviser Law Examination
    2018-12-03
  • S63 Uniform Securities Agent State Law Examination
    2001-05-07
Designations
Other Names
  • Dara Kudzia

View on SEC IAPD

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