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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 2021-12-02
NC RA APPROVED 2011-06-01
CA RA APPROVED 2011-04-07
NJ RA APPROVED 2009-03-11
PA RA APPROVED 2009-02-03
  • TX RA
    APPROVED_RES
    Since 2021-12-02
  • NC RA
    APPROVED
    Since 2011-06-01
  • CA RA
    APPROVED
    Since 2011-04-07
  • NJ RA
    APPROVED
    Since 2009-03-11
  • PA RA
    APPROVED
    Since 2009-02-03

Branch Locations

1717 Arch Street 21St Floor, Philadelphia, PA 19103 • 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 Philadelphia PA 01/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-14
S63 Uniform Securities Agent State Law Examination 1981-08-13
  • S65 Uniform Investment Adviser Law Examination
    1994-11-14
  • S63 Uniform Securities Agent State Law Examination
    1981-08-13

View on SEC IAPD

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