Best Investors Account Sign in
Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2013-12-20
DC RA APPROVED 2013-07-10
NC RA APPROVED 2011-07-07
TX RA APPROVED_RES 2010-10-01
OH RA APPROVED 2009-10-19
VA RA APPROVED 2009-04-16
  • CA RA
    APPROVED
    Since 2013-12-20
  • DC RA
    APPROVED
    Since 2013-07-10
  • NC RA
    APPROVED
    Since 2011-07-07
  • TX RA
    APPROVED_RES
    Since 2010-10-01
  • OH RA
    APPROVED
    Since 2009-10-19
  • VA RA
    APPROVED
    Since 2009-04-16

Branch Locations

Pinehurst, NC • United States

6241 River Road, Richmond, VA 23229 • 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 Richmond VA 04/2009 Present
Janney Montgomery Scott Llc Pinehurst NC 03/2026 Present
Previous Registrations
  • 2006-02-21 → 2009-04-27
    Richmond, VA
    New York, NY
    Richmond, VA
  • 1999-04-16 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Richmond, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-04-01
S63 Uniform Securities Agent State Law Examination 1982-04-12
  • S65 Uniform Investment Adviser Law Examination
    1991-04-01
  • S63 Uniform Securities Agent State Law Examination
    1982-04-12

View on SEC IAPD

More in Pinehurst, NC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor