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James Andrew Wolfinger

Janney Montgomery Scott LLC

Pittsburgh, PA

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2018-06-01
CA RA APPROVED 2018-05-30
NC RA APPROVED 2018-05-30
OH RA APPROVED 2018-05-30
TX RA APPROVED_RES 2018-05-30
DC RA APPROVED 2013-04-18
PA RA APPROVED 2009-04-24
  • WI RA
    APPROVED
    Since 2018-06-01
  • CA RA
    APPROVED
    Since 2018-05-30
  • NC RA
    APPROVED
    Since 2018-05-30
  • OH RA
    APPROVED
    Since 2018-05-30
  • TX RA
    APPROVED_RES
    Since 2018-05-30
  • DC RA
    APPROVED
    Since 2013-04-18
  • PA RA
    APPROVED
    Since 2009-04-24

Branch Locations

One Ppg Place Suite 2200, Pittsburgh, PA 15222 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Janney Montgomery Scott Llc Pittsburgh PA 04/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-26
S63 Uniform Securities Agent State Law Examination 1980-12-31
  • S65 Uniform Investment Adviser Law Examination
    1992-06-26
  • S63 Uniform Securities Agent State Law Examination
    1980-12-31
Other Names
  • Andy Wolfinger
  • James Andrew Wolfinger
  • James A Olfinger
  • James A Wolfinger

View on SEC IAPD

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