James Dennis Toner

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:

Current Employers

Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-11-16
NY	RA	APPROVED	2021-04-08

FL RA
APPROVED

Since 2023-11-16
NY RA
APPROVED

Since 2021-04-08

Branch Locations

395 N. Service Road Suite 411, Melville, NY 11747 • 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

Organization	City	State	From	To
Janney Montgomery Scott Llc	Melville	NY	03/2015	Present

03/2015 → Present

Janney Montgomery Scott Llc

Melville, NY

Previous Registrations

2014-03-03 → 2015-03-26

Morgan Stanley

Melville, NY

Melville, NY

Other Businesses

1) West Babylon Alumni Association; Provide scholarships to students; 10 Farmingdale Rd. West Babylon, NY 11704; Start date: 01/01/2018; Financial committee member; discuss financial aspects of the association; 1hr/month; Investment-related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-07-02
S63	Uniform Securities Agent State Law Examination	1983-03-31

S65 Uniform Investment Adviser Law Examination

1992-07-02
S63 Uniform Securities Agent State Law Examination

1983-03-31

View on SEC IAPD