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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 2023-03-15
FL RA APPROVED 2018-02-06
CA RA APPROVED 2008-10-06
RI RA APPROVED 2005-11-21
  • TX RA
    APPROVED_RES
    Since 2023-03-15
  • FL RA
    APPROVED
    Since 2018-02-06
  • CA RA
    APPROVED
    Since 2008-10-06
  • RI RA
    APPROVED
    Since 2005-11-21

Branch Locations

475 Kilvert Street Suite 330, Warwick, RI 02886 • United States

3001 Pga Boulevard Suite 200, Palm Beach Gardens, FL 33410 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Janney Montgomery Scott Llc Providence RI 11/2005 01/2019
Janney Montgomery Scott Llc Palm Beach Gardens FL 01/2019 Present
Previous Registrations
  • 2005-10-11 → 2005-12-12
    Advest, Inc.
    Providence, RI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-10-14
S63 Uniform Securities Agent State Law Examination 1988-01-15
  • S65 Uniform Investment Adviser Law Examination
    1993-10-14
  • S63 Uniform Securities Agent State Law Examination
    1988-01-15
Other Names
  • Tom Day

View on SEC IAPD

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