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Jose Daniel Giraldo

Janney Montgomery Scott LLC

Charlotte, NC

CRD 5470241

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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
NC RA APPROVED 2022-09-06
  • NC RA
    APPROVED
    Since 2022-09-06

Branch Locations

4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211 • 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 Charlotte NC 05/2010 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 06/2021
Robinhood Financial, Llc Charlotte NC 06/2021 06/2022
Robinhood Markets, Inc Charlotte NC 06/2022 09/2022
Janney Montgomery Scott Llc Charlotte NC 09/2022 Present
  • 05/2010 → 11/2016
    Wells Fargo Advisors Llc
    Charlotte, NC
  • 11/2016 → 06/2021
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
  • 06/2021 → 06/2022
    Robinhood Financial, Llc
    Charlotte, NC
  • 06/2022 → 09/2022
    Robinhood Markets, Inc
    Charlotte, NC
  • 09/2022 → Present
    Janney Montgomery Scott Llc
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-01-05
S63 Uniform Securities Agent State Law Examination 2008-03-25
  • S65 Uniform Investment Adviser Law Examination
    2016-01-05
  • S63 Uniform Securities Agent State Law Examination
    2008-03-25
Other Names
  • Jose Giraldo
  • Daniel Giraldo

View on SEC IAPD

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FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC

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