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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2022-02-17
  • SC RA
    APPROVED
    Since 2022-02-17

Branch Locations

135 N. Church Street Suite 130, Spartanburg, SC 29306 • 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
Wells Fargo Advisors Llc Travelers Rest SC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Travelers Rest SC 11/2016 02/2022
Janney Montgomery Scott Llc Spartanburg SC 02/2022 Present
Previous Registrations
  • 2009-07-27 → 2022-02-25
    Spartanburg, SC
    Travelers Rest, SC
    Greenville, SC
    Greenville, SC
    Spartanburg, SC
    Landrum, SC
    Gaffney, SC
    Spartanburg, SC
Other Businesses

1. As We Like It LLC, Greer, South Carolina; Not Investment Related; Nature: LLC to hold short-term rentals; Title/Position: Secretary (My husband is the sole member); Duties: Correspondence with Guests; Devotes 5 hours/month. 2. Notary Public, Spartanburg, SC. Notary Services, authorized to witness the signing of legal documents, usually concerned with deeds, estates, licenses, power of attorney, affidavits, and trusts. 1 hr/month, not compensated, not investment related. 3. Rental Property, Newport, TN. Owner (05/2024) - manage rental property. Not investment related, 2 hours/month. 4. ARK Investments of SC LLC, Greer, SC. Sole Member (09/2024) - Manage rental property. Investment related, not compensated, 2 hour/month. 5. Chandler Brothers Investments LLC, Greer, SC. Ower (09/2024) - manage rental property. Investment related, not compensated, 2 hour/month.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-07-24
S63 Uniform Securities Agent State Law Examination 2007-07-25
  • S65 Uniform Investment Adviser Law Examination
    2009-07-24
  • S63 Uniform Securities Agent State Law Examination
    2007-07-25
Other Names
  • Lindsay Kramer
  • Lindsay Judith Kramer

View on SEC IAPD

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