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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-07-25
GA RA APPROVED 2024-07-25
NY RA APPROVED 2021-10-29
CT RA APPROVED 2020-06-04
NC RA APPROVED 2014-04-07
NJ RA APPROVED 2014-03-11
CA RA APPROVED 2014-03-10
TX RA APPROVED_RES 2014-03-10
OH RA APPROVED 2014-03-07
  • FL RA
    APPROVED
    Since 2024-07-25
  • GA RA
    APPROVED
    Since 2024-07-25
  • NY RA
    APPROVED
    Since 2021-10-29
  • CT RA
    APPROVED
    Since 2020-06-04
  • NC RA
    APPROVED
    Since 2014-04-07
  • NJ RA
    APPROVED
    Since 2014-03-11
  • CA RA
    APPROVED
    Since 2014-03-10
  • TX RA
    APPROVED_RES
    Since 2014-03-10
  • OH RA
    APPROVED
    Since 2014-03-07

Branch Locations

1166 Avenue Of The Americas 21St Floor, New York, NY 10036 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Janney Montgomery Scott Llc New York NY 03/2014 Present
Previous Registrations
Other Businesses

1) Rental Property; Stamford, CT; Start date: 01/06/2021; I receive monthly rental payment; not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-10-29
S66 Uniform Combined State Law Examination 2009-02-24
  • S65 Uniform Investment Adviser Law Examination
    2021-10-29
  • S66 Uniform Combined State Law Examination
    2009-02-24

View on SEC IAPD

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