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Shawn Christopher Sauerwein

Janney Montgomery Scott LLC

New Castle, PA

CRD 4464506

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Employer firm

Janney Montgomery Scott LLC CRD 463

$110B regulatory AUM 1,031 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-04-27
PA RA APPROVED 2013-02-14
OH RA APPROVED 2012-01-30
  • TX RA
    APPROVED_RES
    Since 2018-04-27
  • PA RA
    APPROVED
    Since 2013-02-14
  • OH RA
    APPROVED
    Since 2012-01-30

Branch Locations

101 Nesbitt Rd. Suite 100, New Castle, PA 16105 • 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 New Castle PA 01/2012 01/2026
Janney Montgomery Scott Llc New Castle PA 01/2026 Present
Previous Registrations
Other Businesses

Columbiana Area Soccer Association, Columbiana, OH. Soccer Coach (06/2020). Not investment related, not compensated, 20 hour/month.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-23
  • S66 Uniform Combined State Law Examination
    2004-07-23
Designations
  • Certified Financial Planner
Other Names
  • Shawn Christopher Saverwein

View on SEC IAPD

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