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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 2021-09-17
CA RA APPROVED 2013-01-31
NJ RA APPROVED 2010-11-22
MD RA APPROVED 2009-08-14
  • TX RA
    APPROVED_RES
    Since 2021-09-17
  • CA RA
    APPROVED
    Since 2013-01-31
  • NJ RA
    APPROVED
    Since 2010-11-22
  • MD RA
    APPROVED
    Since 2009-08-14

Branch Locations

2328 W. Joppa Road Suite 100, Lutherville (Greenspring), MD 21093 • 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
Janney Montgomery Scott Llc Baltimore MD 04/2009 Present
Previous Registrations
  • 2006-02-21 → 2009-05-07
    Pikesville, MD
    New York, NY
    Pikesville, MD
  • 1999-01-15 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Pikesville, MD
Other Businesses

1) Hebrew Burial Society; 405 York Rd. Towson, MD 21204; Start date: 10/13/2020; Serving as a member of the board; 0.50hrs/month; Not investment-related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-16
S63 Uniform Securities Agent State Law Examination 1996-01-11
  • S65 Uniform Investment Adviser Law Examination
    1996-01-16
  • S63 Uniform Securities Agent State Law Examination
    1996-01-11
Other Names
  • Carol Greenbaum Hess

View on SEC IAPD

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