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Tracey Schusterman

Janney Montgomery Scott LLC

New York, NY

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
TX RA APPROVED_RES 2017-09-29
  • NY RA
    APPROVED
    Since 2021-06-16
  • TX RA
    APPROVED_RES
    Since 2017-09-29

Branch Locations

1166 Avenue Of The Americas 21St Floor, New York, NY 10036 • 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
Ubs Financial Services Inc New York NY 01/2009 04/2017
Rbc Capital Markets, Llc New York NY 04/2017 08/2017
Janney Montgomery Scott Llc Midtown NY 09/2017 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-20
S63 Uniform Securities Agent State Law Examination 1985-09-10
  • S65 Uniform Investment Adviser Law Examination
    1995-09-20
  • S63 Uniform Securities Agent State Law Examination
    1985-09-10
Designations

View on SEC IAPD

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