JANNEY MONTGOMERY SCOTT LLC
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JANNEY MONTGOMERY SCOTT LLC
(CRD# 463)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Philadelphia, PA.
The SEC approved the firm to operate as an RIA in
Mar 1971.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$36.6 Billion,
with discretion over
60%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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JANNEY MONTGOMERY SCOTT LLC
also reported in
Mar 2019
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1972
employees,
with
1070
performing advisory functions.
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A total of 112 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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JANNEY MONTGOMERY SCOTT LLC has one or more disclosure events currently on file with the SEC.
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JANNEY MONTGOMERY SCOTT LLC has Notice Filings with the following State Securities Authorities:
AK-Jul 2005, AL-Sep 1996, AR-Jul 2005, AZ-Jun 2005, CA-Jul 1997
, CO-Jun 2005, CT-Oct 2001, DC-Jan 1994, DE-Jun 2003, FL-Dec 1992
, GA-Jan 1998, HI-Jun 2005, IA-Jun 2005, ID-Jun 2005, IL-Dec 1993
, IN-Jun 2005, KS-Jun 2005, KY-Jun 2005, LA-Jun 2005, MA-Apr 2006
, MD-Jan 1992, ME-Oct 1995, MI-Jan 1998, MN-Jan 1998, MO-Jun 2005
, MS-Jun 2005, MT-Jun 2005, NC-May 2001, ND-Jun 2005, NE-Jun 2005
, NH-Mar 1992, NJ-Sep 1991, NM-Jun 2005, NV-Jun 2005, NY-Jan 1983
, OH-Jun 2002, OK-Jun 2005, OR-Jun 2005, PA-Oct 2001, PR-Jun 2005
, RI-Oct 2001, SC-Jun 2002, SD-Jul 2005, TN-Jan 1998, TX-Jul 1983
, UT-Jun 2005, VA-Feb 1992, VI-Mar 2007, VT-Dec 1994, WA-Dec 2000
, WI-Mar 1997, WV-Jun 2005, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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