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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 2025-05-08
NH RA APPROVED 2024-06-27
RI RA APPROVED 2024-06-24
CT RA APPROVED 2024-06-20
FL RA APPROVED 2024-06-19
VT RA APPROVED 2024-06-18
  • TX RA
    APPROVED_RES
    Since 2025-05-08
  • NH RA
    APPROVED
    Since 2024-06-27
  • RI RA
    APPROVED
    Since 2024-06-24
  • CT RA
    APPROVED
    Since 2024-06-20
  • FL RA
    APPROVED
    Since 2024-06-19
  • VT RA
    APPROVED
    Since 2024-06-18

Branch Locations

1551 Boston Post Road 2Nd Floor, Westbrook, CT 06498 • 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
Citizens Securities, Inc Westbrook CT 08/2016 06/2024
Janney Montgomery Scott Llc Westbrook CT 06/2024 Present
Previous Registrations
  • 2016-08-30 → 2024-06-21
    Old Lyme, CT
    Westbrook, CT
    Clinton, CT
    Deep River, CT
    Durham, CT
    Johnston, RI
    Bridgeport, CT
    Niantic, CT
    East Lyme, CT
    Hudson, MA
    Hudson, NH
  • 2012-07-17 → 2016-09-15
    Westbrook, CT
    Clinton, CT
    Centerbrook, CT
    Essex, CT
    Chester, CT
    Old Saybrook, CT
    New Haven, CT
    Chester, CT
    North Branford, CT
    Guilford, CT
    Madison, CT
    New Haven, CT
    New Haven, CT
  • 2006-09-12 → 2012-07-19
    Westbrook, CT
    Clinton, CT
    Deep River, CT
    Old Lyme, CT
  • 2005-04-22 → 2006-08-30
    Madison, CT
    Guilford, CT
  • 2004-10-20 → 2005-04-26
    Banc Of America Investment Services, Inc.
    Old Lyme, CT
  • 2004-09-01 → 2004-10-20
    Quick & Reilly, Inc.
    Old Lyme, CT
Other Businesses

CT River Lacrosse, Old Lyme, CT. Girls Coordinator/Board Member 902/2020) - Coordinate program roster, schedules, field space, games, general support during season. Not compensated, not investment related, 10 hours/month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-31
S63 Uniform Securities Agent State Law Examination 2001-06-19
  • S66 Uniform Combined State Law Examination
    2004-08-31
  • S63 Uniform Securities Agent State Law Examination
    2001-06-19
Other Names
  • Kathryn A Genovese
  • Kathryn A Morrow
  • Kathryn A Morrow
  • Kathryn A Oliver
  • Kathryn A Oliver

View on SEC IAPD

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