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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2023-11-08
NC RA APPROVED 2022-04-28
TX RA APPROVED_RES 2022-04-19
  • DC RA
    APPROVED
    Since 2023-11-08
  • NC RA
    APPROVED
    Since 2022-04-28
  • TX RA
    APPROVED_RES
    Since 2022-04-19

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 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 04/2022
Janney Montgomery Scott Llc Charlotte NC 04/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-04-25
S63 Uniform Securities Agent State Law Examination 1993-11-11
  • S65 Uniform Investment Adviser Law Examination
    1996-04-25
  • S63 Uniform Securities Agent State Law Examination
    1993-11-11

View on SEC IAPD

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