JANNEY MONTGOMERY SCOTT LLC of PHILADELPHIA, PA is an SEC-registered investment adviser (CRD 463). Regulatory assets under management: $110.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Commissions, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 105 people.
| Name | Role | Location |
|---|---|---|
| Sullivan John | MANAGER & SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT | San Francisco, CA |
| Christopher Fusco | ROSFP | Towson, MD |
| Anthony Matthew Miller | DIRECTOR, PRESIDENT; DIRECTOR, PRESIDENT AND CEO | — |
| Gregory Burns Mcshea | GENERAL COUNSEL | — |
| Daneen Elizabeth Downey | DEPUTY GENERAL COUNSEL | — |
| Jessica Ellen Lempa | IA CCO | — |
| David Michael Mullan | PRINCIPAL OPERATIONS OFFICER | — |
| Joseph David Culley | BANKING PRINCIPAL (BP) | — |
| Caroline Kathryne Hall | CHIEF COMPLIANCE OFFICER | — |
| Kevin Jude Reed | EXECUTIVE OFFICER | — |
| Michael J Hricko | CHIEF FINANCIAL OFFICER | — |
| Brett Stephan Riggi | CHIEF OPERATING OFFICER | — |
| MEYER JAMES MAURICE | MANAGER & SENIOR VICE PRESIDENT | — |
| SCHEVE TIMOTHY CHARLES | PRESIDENT/CEO; PRESIDENT/CEO/MANAGER | — |
| MILLER REED PAUL | MANAGER & SENIOR VICE PRESIDENT | — |
| VOGT PETER JOHN | MANAGER | — |
| CHAPPELL ROBERT EUGENE | MANAGER | — |
| BENNETT JOHN | MANAGER & SENIOR VICE PRESIDENT | — |
| MURPHY LEO JOHN | CHIEF COMPLIANCE OFFICER, 1ST VICE PRESIDENT; DIRECTOR OF COMPLIANCE, 1ST VICE PRESIDENT | — |
| CHAVANNE ROSEANN NMN | CO-CHIEF COMPLIANCE OFFICER | — |
| BANKS CHARLES AUGUSTUS IV | FINANCIAL CONSULANT | — |
| PURKISS RICHARD ALLEN | MANAGER & SENIOR VICE PRESIDENT | — |
| HUGHES BRENDAN PATRICK | MANAGER & SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT | — |
| MCSHEA GREGORY BURNS | GENERAL COUNSEL | — |
| WOLITARSKY JAMES WILLIAM | CHIEF FINANCIAL OFFICER, TREASURER, MANAGER, SENIOR VICE PRESIDENT; PRESIDENT, CEO & MANAGER | — |
Showing 10 of 39 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-23 | regulatory | FINRA ALLEGED THAT JANNEY DID NOT ACCURATELY REPORT CERTAIN TRANSACTIONS TO THE MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") FROM JULY 2019 TO MAY 2021; AND TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE") FROM MARCH 2022 TO MARCH 2023. FINRA ALSO ALLEGED THAT JANNEY DID NOT HAVE PROPER SUPERVISORY… | Final | $150K |
| 2022-11-02 | regulatory | IN NOVEMBER 2022, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JANNEY MONTGOMERY SCOTT LLC VOLUNTARILY ENTERED INTO A CONSENT ORDER WITH THE STATE OF DELAWARE RELATED TO FAILURE TO SUPERVISE THE SUITABILITY OF CERTAIN ACTIVITIES BY A FINANCIAL ADVISOR. | Final | $72K |
| 2022-10-19 | regulatory | FROM DECEMBER 2013 THROUGH DECEMBER 2016, JANNEY FAILED TO REASONABLY SUPERVISE TWO FORMER REGISTERED REPRESENTATIVES WHO RECOMMENDED THAT THEIR CUSTOMERS INVEST AN UNSUITABLY HIGH PERCENTAGE OF THEIR ASSETS IN ENERGY-SECTOR SECURITIES IN VIOLATION OF NASD RULE 3010 AND FINRA RULES 3110 AND 2010. | Final | $100K |
| 2021-03-29 | regulatory | THE STATE PUBLISHED ADMINISTRATIVE ORDER 2020-45 THAT PROVIDES FIRMS LICENSED IN MAINE TEMPORARY RELIEF FROM ON-SITE BRANCH OFFICE INSPECTIONS DUE TO ONGOING COVID-19 PANDEMIC. THE ORDER REQUIRED FIRMS WITH BRANCH OFFICES IN MAINE TO PROVIDE THE STATE WITH A LIST OF THE DATE(S) ON WHICH THE FIRM LAS… | Final | $3K |
| 2020-10-21 | regulatory | ON OCTOBER 21, 2020, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JANNEY MONTGOMERY SCOTT LLC ("JANNEY") AGREED TO ENTRY OF AN ORDER ALLEGING THAT JANNEY PERMITTED A FORMER EMPLOYEE TO ACT AS EXECUTOR OF A CLIENT'S ESTATE IN CONTRAVENTION OF WRITTEN SUPERVISORY PROCEDURES. THE CONSENT ORDER ALSO AL… | Final | $100K |
| 2020-09-08 | regulatory | IT IS ALLEGED THE FIRM SUBMITTED INACCURATE OR INCOMPLETE REPORTABLE ORDER EVENTS (ROES) TO OATS, FAILED TO REASONABLY SUPERVISE FOR COMPLIANCE WITH ITS OATS REPORTING REQUIREMENTS, AND FAILED TO REASONABLY RESPOND TO IDENTIFIED OATS REPORTING DEFICIENCIES. THE FINDINGS STATE THE FIRM TRANSMITTED DE… | Final | $90K |
| 2019-05-07 | regulatory | SALES PRACTICE VIOLATIONS INVOLVING SHORT TERM TRADING IN CLASS A SHARES OF MUTUAL FUNDS BY AN ADVISOR WHO LEFT JANNEY IN 2018. | Final | $287K |
| 2019-03-22 | regulatory | ON MARCH 21, 2019, THE FIRM ENTERED INTO AN AWC WITH NASDAQ. WITHOUT ADMITTING OR DENYING ANY FINDINGS BY NASDAQ, THE FIRM AGREED TO A FINE OF $27,500 WITH RESPECT TO ITS FAILURE BETWEEN 2015 AND 2017 TO MAINTAIN A CONTINUOUS TWO-SIDED TRADING INTEREST DURING REGULAR MARKET HOURS AT PRICES WITHIN CE… | Final | $28K |
| 2019-03-11 | regulatory | IN JUNE OF 2018, THE FIRM VOLUNTARILY SELF-REPORTED THAT SOME CUSTOMERS ELIGIBLE TO PURCHASE MUTUAL FUNDS WHICH DID NOT CHARGE 12B-1 FEES DID NOT RECEIVE THE AVAILABLE LESS EXPENSIVE SHARE CLASS. AS A RESULT, THE FIRM ESTIMATED THAT ELIGIBLE CUSTOMERS WERE OVERCHARGED $215,761 PLUS PRE JUDGEMENT INT… | Final | — |
| 2016-07-18 | regulatory | THE COMMONWEALTH OF PENNSYLVANIA CONDUCTED AN INVESTIGATION OF JANNEY MONTGOMERY SCOTT LLC ("JANNEY") REGARDING A FORMER FINANCIAL ADVISOR, WHO WAS TERMINATED BY THE FIRM ON JULY 27, 2010. IT IS ALLEGED THAT JANNEY FAILED TO REASONABLY SUPERVISE THE FINANCIAL ADVISOR DURING THE TERM OF HER EMPLOYMEN… | Final | $125K |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| PITTSBURGH | PA | 37 | 412-562-8000 |
| CHARLOTTE | NC | 34 | (704)367-9700 |
| NEW YORK | NY | 30 | 212-906-1950 |
| PALM BEACH GARDENS | FL | 28 | 561-630-9101 |
| MT. LAUREL | NJ | 28 | 856-291-5000 |
| GARDEN CITY | NY | 27 | 516-294-0917 |
| YARDLEY | PA | 27 | (267) 685-8140 |
| GREENVILLE | DE | 27 | 302-428-1818 |
| SEWICKLEY | PA | 27 | (724) 934-1888 |
| WASHINGTON | DC | 26 | 202-955-4300 |
| BRYN MAWR | PA | 26 | 610-526-7200 |
| TOWSON | MD | 26 | (410)494-9500 |
| GLASTONBURY | CT | 24 | 860-657-1780 |
| ATLANTA | GA | 23 | 404-233-5744 |
| RALEIGH | NC | 23 | 919-789-3091 |