Joseph William Waterloo

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/1996 → 12/2020
  The Vanguard Group, Inc.
  Malvern, PA
• 04/2016 → Present
  Self Employed
  Honey Brook, PA
• 04/2022 → 09/2022
  Thrive Capital Management, Llc
  Fort Washington, PA
• 04/2022 → 09/2022
  Thrive Financial Services, Llc
  Fort Washington, PA
• 04/2022 → 09/2022
  Thrive Insurance Group
  Fort Washington, PA
• 11/2022 → Present
  Janney Montgomery Scott Llc
  Philadelphia, PA

Previous Registrations

• 2022-05-06 → 2022-09-19
  Thrive Capital Management, Llc
  Fort Washington, PA
• 2016-06-21 → 2020-12-31
  Vanguard Advisers, Inc.
  Malvern, PA
• 2000-04-25 → 2004-01-14
  Vanguard Advisers, Inc.
  Malvern, PA

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-04-05
• S63 Uniform Securities Agent State Law Examination
  1996-05-01

Designations

• Certified Financial Planner

Other Names

• Joe Waterloo