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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 2021-03-10
CT RA APPROVED 2013-10-04
  • TX RA
    APPROVED_RES
    Since 2021-03-10
  • CT RA
    APPROVED
    Since 2013-10-04

Branch Locations

15 N. Main Street Suite 300, West Hartford, CT 06107-2420 • 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 West Hartford CT 10/2013 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-10
S63 Uniform Securities Agent State Law Examination 1984-07-25
  • S65 Uniform Investment Adviser Law Examination
    1997-04-10
  • S63 Uniform Securities Agent State Law Examination
    1984-07-25

View on SEC IAPD

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