James Michael Winner

Janney Montgomery Scott LLC

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Current Employers

Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-01-11
MD	RA	APPROVED	2015-11-05
VA	RA	APPROVED	2015-10-29

TX RA
APPROVED_RES

Since 2019-01-11
MD RA
APPROVED

Since 2015-11-05
VA RA
APPROVED

Since 2015-10-29

Branch Locations

116 Hays Street, Bel Air, MD 21014 • 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	Be Air	MD	10/2015	Present

10/2015 → Present

Janney Montgomery Scott Llc

Be Air, MD

Previous Registrations

2009-03-13 → 2015-11-10

Rbc Capital Markets, Llc

Bel Air, MD
1999-11-24 → 2009-03-13

Ferris, Baker Watts, Llc

Bel Air, MD

Bel Air, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-11-04
S63	Uniform Securities Agent State Law Examination	1986-07-28

S65 Uniform Investment Adviser Law Examination

1999-11-04
S63 Uniform Securities Agent State Law Examination

1986-07-28

Designations

View on SEC IAPD

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Other Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · BEL AIR, MD

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Bel Air, MD

OSAIC WEALTH, INC. · BEL AIR, MD

FOUNDERS FINANCIAL SECURITIES LLC · BEL AIR, MD

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BEL AIR, MD

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Bel Air, MD

AMERIPRISE FINANCIAL SERVICES, LLC · Bel Air, MD

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Be Air, MD

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