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Steven Charles Guggenheimer

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
GA RA APPROVED 2024-07-25
FL RA APPROVED 2022-03-09
NY RA APPROVED 2021-11-19
NC RA APPROVED 2014-04-07
NJ RA APPROVED 2014-03-24
TX RA APPROVED_RES 2014-03-10
CA RA APPROVED 2014-03-07
OH RA APPROVED 2014-03-07
  • GA RA
    APPROVED
    Since 2024-07-25
  • FL RA
    APPROVED
    Since 2022-03-09
  • NY RA
    APPROVED
    Since 2021-11-19
  • NC RA
    APPROVED
    Since 2014-04-07
  • NJ RA
    APPROVED
    Since 2014-03-24
  • TX RA
    APPROVED_RES
    Since 2014-03-10
  • CA RA
    APPROVED
    Since 2014-03-07
  • OH RA
    APPROVED
    Since 2014-03-07

Branch Locations

1166 Avenue Of The Americas 21St Floor, New York, NY 10036 • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Janney Montgomery Scott Llc New York NY 03/2014 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-18
S63 Uniform Securities Agent State Law Examination 1987-08-05
  • S65 Uniform Investment Adviser Law Examination
    2021-11-18
  • S63 Uniform Securities Agent State Law Examination
    1987-08-05

View on SEC IAPD

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