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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 2023-10-12
FL RA APPROVED 2022-07-26
  • TX RA
    APPROVED_RES
    Since 2023-10-12
  • FL RA
    APPROVED
    Since 2022-07-26

Branch Locations

2385 Nw Executive Center Drive Suite 200, Boca Raton, FL 33431 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Janney Montgomery Scott Llc Boca Raton FL 09/2016 07/2022
Warrior Capital Management Jupiter Fl FL 08/2015 09/2016
Janney Montgomery Scott Llc Boca Raton FL 07/2022 06/2023
Complex Operations Manager Boca Raton FL 06/2023 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-07-25
S63 Uniform Securities Agent State Law Examination 1992-10-10
  • S65 Uniform Investment Adviser Law Examination
    2022-07-25
  • S63 Uniform Securities Agent State Law Examination
    1992-10-10

View on SEC IAPD

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