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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2016-06-16
TX RA APPROVED 2016-06-16
  • CT RA
    APPROVED
    Since 2016-06-16
  • TX RA
    APPROVED
    Since 2016-06-16

Branch Locations

95 Glastonbury Boulevard Suite 404, Glastonbury, CT 06033 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Janney Montgomery Scott Llc Glastonbury CT 06/2016 Present
Previous Registrations
Other Businesses

1. Corpis Christi School, Wethersfield, CT. Youth basketball coach 4th grade through 8th. Not compensated, not investment related, 16 hours per month, 11/2022. 2. Arch Diocese of Hartford, CT. Basketball Director for Central CT Deanery/Vicariate. Director of Basketball (01/2008) - Scheule Coordinator, Coach, Rule Committee. Not investment related, compensated for expenses, 16 hours per month.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-30
S63 Uniform Securities Agent State Law Examination 1984-05-11
  • S65 Uniform Investment Adviser Law Examination
    1997-01-30
  • S63 Uniform Securities Agent State Law Examination
    1984-05-11
Other Names
  • Ken Sarpu

View on SEC IAPD

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