Andrew David Banks

Employer firm

Janney Montgomery Scott LLC CRD 463

$110B regulatory AUM 1,031 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2002 → Present
  Janney Montgomery Scott Llc
  New Haven, CT

Previous Registrations

• 2002-03-11 → 2002-06-27
  Rbc Capital Markets, Llc
  New Haven, CT

Other Businesses

#1 LIGHTHOUSE MANAGEMENT, LLC; INVESTMENT RELATED: 10 OLD ORCHARD RD; RENTAL REAL ESTATE; POSITION/TITLE: LLC MEMBER WITH 50% OWNERSHIP; START DATE: 1992; TIME DEVOTED: 0-20 HOURS EACH MONTH;COMPENSATED THRU NET INCOME/LOSS FROM RENTAL PROPERTY; #2 WAC LLC (WETHERSFIELD ACQUISITION LLC; INVESTMENT RELATED - REAL ESTATE ONLY; 735 POST EAST, WESTPORT, CT 06880; PASS THRU THAT OWNS A PROPERTY; POSITION/TITLE: LLC MEMBER WITH 22.2% INTEREST;START DATE: 2011; TIME DEVOTED: 0; NO COMPENSATION; #3 F.O.C.U.S.; NOT INVESTMENT RELATED; 105 COURT STREET, 3RD FLOOR, NEW HAVEN, CT 06511; CHILDREN'S CHARITY; POSITION/TITLE: BOARD MEMBER - TREASURER; START DATE: JUNE 2002; TIME DEVOTED: 4 HOURS PER MONTH - 0 DURING SECURITIES TRADING HOURS; NO COMPENSATION. #4 799 FBR LLC, North Haven, CT. Real Estate LLC; member (04/2021). No time devoted, investment related, no compensation. #5 785 FBR LLC, North Haven, CT. Real Estate LLC; member (04/2004). No time devoted, investment related, no compensation. #6 707 FBRD LLC, North Haven, CT. Real Estate LLC; member (04/2004). No time devoted, investment related, no compensation.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-12-19
• S63 Uniform Securities Agent State Law Examination
  1991-10-04

Other Names

• David Banks
• Andrew David Banks