Janney Montgomery Scott Llc
- Regulatory AUM
- $110B
- Discretionary
- $76.2B
- Clients
- 243,808
- Avg AUM / client
- $452K
- Accounts
- 243,808
- Employees
- 2,404
AUM over time
Annual snapshots from Form ADV filings · as of Jun 30, 2026
Asset allocation (SMA assets by investment type)
as of Jun 30, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 139,021 | $21.1B | 19.1% |
| High net worth individuals | 100,743 | $76.5B | 69.4% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 664 | $7.0B | 6.4% |
| Charitable organizations | 1,810 | $2.1B | 1.94% |
| State or municipal government entities | 145 | $717M | 0.65% |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 1,425 | $2.7B | 2.45% |
| Other | 0 | $0 | — |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Cambridge Charitable Foundation EIN 201938332 | Cincinnati, OH | 12/31/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (1,347)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mcshea, Gregory Burns | General Counsel | Dec 2012 (14y) | Less than 5% | |
| O'malley, David Michael | Director | Nov 2014 (12y) | Less than 5% | |
| Downey, Daneen Elizabeth | Deputy General Counsel | Jun 2015 (11y) | Less than 5% | |
| Christopher Fusco | Rosfp | Jun 2015 (11y) | Less than 5% | |
| Lempa, Jessica Ellen | Ia Cco | May 2018 (8y) | Less than 5% | |
| Culley, Joseph David | Banking Principal (Bp) | Oct 2018 (8y) | Less than 5% | |
| Mullan, David Michael | Principal Operations Officer | Oct 2018 (8y) | Less than 5% | |
| Hall, Caroline Kathryne | Chief Compliance Officer | Mar 2021 (5y) | Less than 5% | |
| Raszeja, David Michael | Director | Jan 2022 (5y) | Less than 5% | |
| Reed, Kevin Jude | Executive Officer | Jan 2023 (4y) | Less than 5% | |
| Victoria Marie Robinson | Director | Jan 2023 (4y) | Less than 5% | |
| Dalawai Narayanswamy, Karthick | Director | Feb 2023 (4y) | Less than 5% | |
| Hricko, Michael J | Chief Financial Officer | Feb 2023 (4y) | Less than 5% | |
| Miller, Anthony Matthew | Director, President | Jan 2024 (3y) | Less than 5% | |
| Carolyn Ann Frzop | Registered representative | Sep 1990 (36y) | ||
| Charles John Burns | Registered representative | Jan 1994 (33y) | ||
| Saul Adam Sadinsky | Registered representative | Oct 1994 (32y) | ||
| Murray Carter | Registered representative | CFP | Mar 1995 (31y) | |
| Joann Attwood Nemis | Registered representative | Jan 1998 (29y) | ||
| Anita Andrews | Registered representative | Sep 1999 (27y) | ||
| Richard Snowden Andrews | Registered representative | Oct 1999 (27y) | ||
| James Joseph Mc Kenna | Registered representative | Mar 2002 (24y) | ||
| Andrew David Banks | Registered representative | Jul 2002 (24y) | ||
| Gregory Charles Nappo | Registered representative | CFP | Dec 2002 (24y) | |
| Kirk Edward Pickell | Registered representative | Jul 2004 (22y) | ||
| Chad Matthew Kupreanik | Registered representative | CFP | Oct 2004 (22y) | |
| Stuart Michael Singer | Registered representative | Nov 2004 (22y) | ||
| Frederic Morse Bryant | Registered representative | Dec 2004 (22y) | ||
| Carol Ann Mansour Ezzell | Registered representative | Dec 2004 (22y) | ||
| Charles Alexander Creekmore | Registered representative | CFP | Dec 2004 (22y) | |
| Paul Michael Tomick | Registered representative | Jan 2005 (22y) | ||
| Allison Taylor Casey | Registered representative | CFP | Jan 2005 (22y) | |
| Daniel Trent Lancaster | Registered representative | Feb 2005 (21y) | ||
| Kenneth Andrew Feiertag | Registered representative | Mar 2005 (21y) | ||
| Andrew David Carrolus | Registered representative | CFP | Apr 2005 (21y) | |
| Jennifer Lyn Karnoski | Registered representative | Apr 2005 (21y) | ||
| Brett Robert Biggs | Registered representative | Apr 2005 (21y) | ||
| John Myrl Olson | Registered representative | CFP | Apr 2005 (21y) | |
| Kimberly Anne Beil | Registered representative | CFP | Apr 2005 (21y) | |
| Linda Loretta Murphy | Registered representative | Apr 2005 (21y) | ||
| Michael Edouard Blankenship | Registered representative | May 2005 (21y) | ||
| Mary Keating Bennett | Registered representative | May 2005 (21y) | ||
| Jeffrey Allen Schnee | Registered representative | May 2005 (21y) | ||
| Robert Morris Knipp | Registered representative | May 2005 (21y) | ||
| Howard James Newman | Registered representative | Jun 2005 (21y) | ||
| Alyssa Leigh Prettyman Ion | Registered representative | Jun 2005 (21y) | ||
| Barbara Boyd Layton | Registered representative | Jun 2005 (21y) | ||
| Bradley Miller Durko | Registered representative | Jun 2005 (21y) | ||
| Cindy W Pastin | Registered representative | Jun 2005 (21y) | ||
| Chad Michael Dalson | Registered representative | CFP | Jun 2005 (21y) | |
| Daniel Harry Fishbone | Registered representative | Jun 2005 (21y) | ||
| Derek Scott Smith | Registered representative | Jun 2005 (21y) | ||
| Douglas William Stirling | Registered representative | Jun 2005 (21y) | ||
| Edward William Ramolt | Registered representative | Jun 2005 (21y) | ||
| Howard Thomas Gierling | Registered representative | Jun 2005 (21y) | ||
| James Murray Egan | Registered representative | Jun 2005 (21y) | ||
| Jerry Russell Starr | Registered representative | Jun 2005 (21y) | ||
| John Edward Macdonald | Registered representative | Jun 2005 (21y) | ||
| Joy Lynn Mitchell | Registered representative | Jun 2005 (21y) | ||
| John F Coleman | Registered representative | Jun 2005 (21y) | ||
| John Martin Yount | Registered representative | Jun 2005 (21y) | ||
| Kimberly A Krapp | Registered representative | Jun 2005 (21y) | ||
| Laura Jean Williams | Registered representative | Jun 2005 (21y) | ||
| Mark Daniel Luschini | Registered representative | Jun 2005 (21y) | ||
| Mark Richardson Scholl | Registered representative | Jun 2005 (21y) | ||
| Melody Ann Cole | Registered representative | Jun 2005 (21y) | ||
| Matthew Harford Lerch | Registered representative | Jun 2005 (21y) | ||
| Nancy Marie Buck | Registered representative | Jun 2005 (21y) | ||
| Paul Joseph Lukas | Registered representative | Jun 2005 (21y) | ||
| Paulette Ann Street | Registered representative | Jun 2005 (21y) | ||
| Richard Grant Crist | Registered representative | Jun 2005 (21y) | ||
| Robert David Gleyze | Registered representative | CFP | Jun 2005 (21y) | |
| Sean Michael Giliberti | Registered representative | Jun 2005 (21y) | ||
| Taylor W Raab | Registered representative | Jun 2005 (21y) | ||
| Timothy Michael Novak | Registered representative | Jun 2005 (21y) | ||
| Todd Stephen Fabic | Registered representative | Jun 2005 (21y) | ||
| William George Barth | Registered representative | Jun 2005 (21y) | ||
| William Wallace Danforth | Registered representative | Jun 2005 (21y) | ||
| William David Howell | Registered representative | CFP | Jun 2005 (21y) | |
| Jonathan Kent Ganzert | Registered representative | Jul 2005 (21y) | ||
| Jeffrey Daniel Costelnock | Registered representative | Aug 2005 (21y) | ||
| Frank Weckenman | Registered representative | CFP | Aug 2005 (21y) | |
| Mark Edward Madvedoff | Registered representative | CFP | Aug 2005 (21y) | |
| Paul J Murray | Registered representative | CFP | Aug 2005 (21y) | |
| Robert Weckenman | Registered representative | CFP | Aug 2005 (21y) | |
| Jan Peter Cummins | Registered representative | CFP | Aug 2005 (21y) | |
| Jonathon Carson Leise | Registered representative | CFP | Aug 2005 (21y) | |
| Donald Edward Strangfeld | Registered representative | Aug 2005 (21y) | ||
| Michelle Lenzmeier Keates | Registered representative | Aug 2005 (21y) | ||
| Philip Harrington Sandt | Registered representative | Sep 2005 (21y) | ||
| Michael Louis Gebhard | Registered representative | Sep 2005 (21y) | ||
| Leroy Philip Rachlin | Registered representative | Sep 2005 (21y) | ||
| Robert John Bennett | Registered representative | Sep 2005 (21y) | ||
| Kevin Thomas Charos | Registered representative | Sep 2005 (21y) | ||
| Charles Peter Croonquist | Registered representative | Oct 2005 (21y) | ||
| George Thomas Croonquist | Registered representative | Oct 2005 (21y) | ||
| Jeffrey T Went | Registered representative | CFP | Oct 2005 (21y) | |
| Paul Steven Karsevar | Registered representative | Oct 2005 (21y) | ||
| George Thomas Croonquist | Registered representative | CFP | Oct 2005 (21y) | |
| Michael Brian Levin | Registered representative | Nov 2005 (21y) | ||
| Thomas Earle Day | Registered representative | Nov 2005 (21y) | ||
| Mark Anthony Giudice | Registered representative | Dec 2005 (21y) | ||
| Gideon Evans | Registered representative | Jan 2006 (21y) | ||
| Mark Steven Shapiro | Registered representative | Jan 2006 (21y) | ||
| Mary Elizabeth Dinapoli | Registered representative | Jan 2006 (21y) | ||
| Robert Andrew D'ambrosio | Registered representative | Jan 2006 (21y) | ||
| Whitney Staunton Boucher | Registered representative | Jan 2006 (21y) | ||
| William Albert Murdoch | Registered representative | CFP | Jan 2006 (21y) | |
| John Kuris | Registered representative | Jan 2006 (21y) | ||
| Frederick Charles Wise | Registered representative | Jan 2006 (21y) | ||
| Kelly Suzanne Conte | Registered representative | Feb 2006 (20y) | ||
| Winifred D Robinson | Registered representative | Mar 2006 (20y) | ||
| Richard Wayne Laird | Registered representative | Mar 2006 (20y) | ||
| Anthony Allen Snaith | Registered representative | Mar 2006 (20y) | ||
| Adrienne Heiden Horen | Registered representative | Mar 2006 (20y) | ||
| David William Fullerton | Registered representative | Mar 2006 (20y) | ||
| Donald Lee Wall | Registered representative | Mar 2006 (20y) | ||
| Edmund Joseph Vilsack | Registered representative | Mar 2006 (20y) | ||
| Edward James Deardon Sherwood | Registered representative | Mar 2006 (20y) | ||
| Jacelyn Darlene Gofus | Registered representative | Mar 2006 (20y) | ||
| Jonathan Robert Harvey | Registered representative | Mar 2006 (20y) | ||
| Kenneth Alan Haupt | Registered representative | Mar 2006 (20y) | ||
| Marc Steven Rapoport | Registered representative | Mar 2006 (20y) | ||
| Peter Lucian Costanzo | Registered representative | CFP | Mar 2006 (20y) | |
| Tammy Elaine Bowman | Registered representative | Mar 2006 (20y) | ||
| William Edward Farrell | Registered representative | Mar 2006 (20y) | ||
| David Kenton Brosend | Registered representative | Mar 2006 (20y) | ||
| Daryl Gene Woodring | Registered representative | Mar 2006 (20y) | ||
| Edward Seth Blumenthal | Registered representative | Mar 2006 (20y) | ||
| H. Brad Kerr | Registered representative | Mar 2006 (20y) | ||
| Harry Charles Hannigan | Registered representative | Mar 2006 (20y) | ||
| John Louis Fiore | Registered representative | CFP | Mar 2006 (20y) | |
| Michael R Richardson | Registered representative | Mar 2006 (20y) | ||
| Pearl Lee | Registered representative | Mar 2006 (20y) | ||
| Mark Richard Eskin | Registered representative | Apr 2006 (20y) | ||
| Margaret Elizabeth Blisard | Registered representative | Apr 2006 (20y) | ||
| Peter John Klimuszko | Registered representative | Apr 2006 (20y) | ||
| Stanley Manuel Hochhauser | Registered representative | Apr 2006 (20y) | ||
| Steven Eric Dolgin | Registered representative | Apr 2006 (20y) | ||
| Theodore Paul Marohn | Registered representative | Apr 2006 (20y) | ||
| Jayne M Scanlon | Registered representative | CFP | Apr 2006 (20y) | |
| Eric Douglas Angle | Registered representative | May 2006 (20y) | ||
| Eugene Joseph Anastasio | Registered representative | May 2006 (20y) | ||
| John Michael Conaboy | Registered representative | May 2006 (20y) | ||
| Christine Marie Marrazzo | Registered representative | May 2006 (20y) | ||
| David M Basile | Registered representative | May 2006 (20y) | ||
| David Douglas Betz | Registered representative | May 2006 (20y) | ||
| Martin Musselman Chronister | Registered representative | May 2006 (20y) | ||
| Binnie Sue Footer | Registered representative | May 2006 (20y) | ||
| Brian Westcott Lee | Registered representative | May 2006 (20y) | ||
| Gregory Michael Drahuschak | Registered representative | May 2006 (20y) | ||
| Lawrence David Hunt | Registered representative | May 2006 (20y) | ||
| William Gb Harvey | Registered representative | May 2006 (20y) | ||
| William George Harvey | Registered representative | May 2006 (20y) | ||
| Anthony B Midili | Registered representative | Jun 2006 (20y) | ||
| Mary Anne Forrester | Registered representative | Jun 2006 (20y) | ||
| Alan Smith Meminger | Registered representative | Jun 2006 (20y) | ||
| George Rea Orr | Registered representative | Jun 2006 (20y) | ||
| Kathleen Ann Lynn | Registered representative | Jun 2006 (20y) | ||
| Michael Robert Patitucci | Registered representative | Jun 2006 (20y) | ||
| Norman Kenneth Mielziner | Registered representative | Jun 2006 (20y) | ||
| David Jonathan Nuddle | Registered representative | Jun 2006 (20y) | ||
| Richard Jeffrey Robinson | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| Charles Lynn Simon | Registered representative | Jun 2006 (20y) | ||
| Christopher John Squassi | Registered representative | Jun 2006 (20y) | ||
| David Peter Degraff | Registered representative | Jun 2006 (20y) | ||
| Donald John Rohner | Registered representative | Jun 2006 (20y) | ||
| Michael Patrick Stevens | Registered representative | Jun 2006 (20y) | ||
| Dolores L Jordan | Registered representative | Jun 2006 (20y) | ||
| Paul Charles Walter | Registered representative | Jun 2006 (20y) | ||
| Andrew Ignatius Lombard | Registered representative | Jun 2006 (20y) | ||
| Steven Louis Rivera | Registered representative | Jun 2006 (20y) | ||
| Walter Thomas Dwyer | Registered representative | Jun 2006 (20y) | ||
| Richard Kearney | Registered representative | Jul 2006 (20y) | ||
| Susan Aagaard Whitesell | Registered representative | Jul 2006 (20y) | ||
| Albert Howard Wheeler | Registered representative | Jul 2006 (20y) | ||
| Lorrie Garber Riggs | Registered representative | Jul 2006 (20y) | ||
| Robin Lorraine Morris | Registered representative | Jul 2006 (20y) | ||
| William Richard Witt | Registered representative | Jul 2006 (20y) | ||
| Michael Lee Appelbaum | Registered representative | Jul 2006 (20y) | ||
| Sidney Edward Gosser | Registered representative | Jul 2006 (20y) | ||
| Jean Ann Bloom | Registered representative | Jul 2006 (20y) | ||
| Matthew John Kalajian | Registered representative | CFP | Aug 2006 (20y) | |
| Francis Michael Donlan | Registered representative | Aug 2006 (20y) | ||
| Ryan Berry Tickner | Registered representative | Aug 2006 (20y) | ||
| David Revere Dansby | Registered representative | CFP | Sep 2006 (20y) | |
| Robert Gelsher | Registered representative | CFP | Sep 2006 (20y) | |
| Colin Joseph Kelly | Registered representative | Sep 2006 (20y) | ||
| James Martin Small | Registered representative | Oct 2006 (20y) | ||
| David William Webb | Registered representative | Oct 2006 (20y) | ||
| Brett Marshall Reiss | Registered representative | CFP | Oct 2006 (20y) | |
| Maureen Agnes Cunningham | Registered representative | Nov 2006 (20y) | ||
| Thomas Joseph Urban | Registered representative | Nov 2006 (20y) | ||
| Debora Jean Rall | Registered representative | Nov 2006 (20y) | ||
| Mark Elwyn Van Houten | Registered representative | Nov 2006 (20y) | ||
| Gail Marie Kelly Brown | Registered representative | Dec 2006 (20y) | ||
| Jeffrey Robert Scharf | Registered representative | Dec 2006 (20y) | ||
| Norman Taylor Wilde | Registered representative | Dec 2006 (20y) | ||
| Clare Marian Schwemlein Brownfield | Registered representative | Jan 2007 (20y) | ||
| Richard Thomas Steury | Registered representative | Jan 2007 (20y) | ||
| Martin Justin Franks | Registered representative | Jan 2007 (20y) | ||
| Peter Kurt Heger | Registered representative | Feb 2007 (19y) | ||
| Nicholas Felice Russillo | Registered representative | Mar 2007 (19y) | ||
| Richard Carl Lawson | Registered representative | Mar 2007 (19y) | ||
| Andrea Lynn Robertson | Registered representative | Mar 2007 (19y) | ||
| Tracy A Schurter | Registered representative | Apr 2007 (19y) | ||
| Linda Marie Straubmuller | Registered representative | May 2007 (19y) | ||
| Kathryn Lorene Ho | Registered representative | CFP | Jun 2007 (19y) | |
| Michael C Weckenman | Registered representative | CFP | Jun 2007 (19y) | |
| Scott A Wilson | Registered representative | Jun 2007 (19y) | ||
| Ronald Peter Funari | Registered representative | Jun 2007 (19y) | ||
| Michael Owen Gaddis | Registered representative | Jun 2007 (19y) | ||
| Geoffrey Marshall Beringer | Registered representative | Jul 2007 (19y) | ||
| Elizabeth Andrea Hines | Registered representative | Aug 2007 (19y) | ||
| Russell R Valante | Registered representative | Aug 2007 (19y) | ||
| Carrie Ann Jarmer | Registered representative | Aug 2007 (19y) | ||
| James Edward Burton | Registered representative | Aug 2007 (19y) | ||
| Roberta Elizabeth (Richards) Mauch | Registered representative | Aug 2007 (19y) | ||
| Janet Coggeshall Chadie | Registered representative | Sep 2007 (19y) | ||
| Thomas Anthony Mcdonald | Registered representative | Sep 2007 (19y) | ||
| James Alexander Bakal | Registered representative | Sep 2007 (19y) | ||
| Robert Charles Sander | Registered representative | Oct 2007 (19y) | ||
| Kevin Lee Bradley | Registered representative | Oct 2007 (19y) | ||
| Andrew Thomas Elgin | Registered representative | Nov 2007 (19y) | ||
| William Joseph Flynn | Registered representative | Dec 2007 (19y) | ||
| Thomas Martorana | Registered representative | Jan 2008 (19y) | ||
| H. Brad Kerr | Registered representative | Feb 2008 (18y) | ||
| Jason Robert Holowinski | Registered representative | Feb 2008 (18y) | ||
| Paul Douglas Madden | Registered representative | Feb 2008 (18y) | ||
| Daniel Gene Smith | Registered representative | Feb 2008 (18y) | ||
| Timothy John Herrera | Registered representative | Mar 2008 (18y) | ||
| John Thomas Franchi | Registered representative | CFP | May 2008 (18y) | |
| Paul D Wampler | Registered representative | May 2008 (18y) | ||
| Shane Timothy Ennis | Registered representative | Jul 2008 (18y) | ||
| Laura Marie Shannon | Registered representative | Aug 2008 (18y) | ||
| Jean Elizabeth Good | Registered representative | Aug 2008 (18y) | ||
| Douglas Robert Moline | Registered representative | Sep 2008 (18y) | ||
| Trevor Charles Wampler | Registered representative | Sep 2008 (18y) | ||
| Mark Alan Katzoff | Registered representative | Sep 2008 (18y) | ||
| Lawrence Peter Giordano | Registered representative | Sep 2008 (18y) | ||
| Steven Franklin Marshall | Registered representative | Nov 2008 (18y) | ||
| Jonathan Adam Sefcik | Registered representative | Dec 2008 (18y) | ||
| Christopher Michael Fedoriw | Registered representative | CFP | Dec 2008 (18y) | |
| Donald Eugene Thomas | Registered representative | Dec 2008 (18y) | ||
| Jonathon Leise | Registered representative | Dec 2008 (18y) | ||
| Melvin Finkelstein | Registered representative | Jan 2009 (18y) | ||
| Gregory Christos Jamgochian | Registered representative | CFP | Jan 2009 (18y) | |
| John Joseph Dougherty | Registered representative | CFP | Jan 2009 (18y) | |
| John Martin Kirsch | Registered representative | Jan 2009 (18y) | ||
| Mark James Duffy | Registered representative | Jan 2009 (18y) | ||
| Lawrence Kevin Ennis | Registered representative | Jan 2009 (18y) | ||
| Janet Renee Riser | Registered representative | Feb 2009 (17y) | ||
| Jessica Anne Hartman | Registered representative | Feb 2009 (17y) | ||
| Robert Walter Hoey | Registered representative | Feb 2009 (17y) | ||
| Mafalda Amy Villani | Registered representative | Feb 2009 (17y) | ||
| Holly Adams Mayer | Registered representative | CFP | Feb 2009 (17y) | |
| Keith David Graham | Registered representative | Feb 2009 (17y) | ||
| Kevin Joel Smith | Registered representative | CFP Chartered Financial Consultant | Feb 2009 (17y) | |
| Gerard Joseph Binder | Registered representative | Feb 2009 (17y) | ||
| Mark Alan Kelley | Registered representative | Mar 2009 (17y) | ||
| Arthur Richard Falkowitz | Registered representative | Mar 2009 (17y) | ||
| Ryan Wilson | Registered representative | CFP | Mar 2009 (17y) | |
| Patrick Murphy Ehret | Registered representative | Mar 2009 (17y) | ||
| Andrew Martin Ingeman | Registered representative | Apr 2009 (17y) | ||
| Carol Reid Dittert | Registered representative | Apr 2009 (17y) | ||
| Kristen Janis Whitten | Registered representative | Apr 2009 (17y) | ||
| Colin Taylor Burgess | Registered representative | CFP | Apr 2009 (17y) | |
| Keith Robert Kleinman | Registered representative | Apr 2009 (17y) | ||
| Jeremy Brandon De Falco | Registered representative | CFP | Apr 2009 (17y) | |
| Joshua Austin Scheinker | Registered representative | Apr 2009 (17y) | ||
| Kristopher Olenginski | Registered representative | CFP | Apr 2009 (17y) | |
| Richard Allen Keetley | Registered representative | CFP | Apr 2009 (17y) | |
| Adam Scott Layne | Registered representative | Apr 2009 (17y) | ||
| Allan Hitchings Strange | Registered representative | Apr 2009 (17y) | ||
| Gordon Albert Eide | Registered representative | Apr 2009 (17y) | ||
| John Francis Baron | Registered representative | Apr 2009 (17y) | ||
| Richard Albert Crittenden | Registered representative | Apr 2009 (17y) | ||
| Robert Kirkwood Eberly | Registered representative | Apr 2009 (17y) | ||
| Jack Thomas Heyl | Registered representative | Apr 2009 (17y) | ||
| William Stuart Jeter | Registered representative | Apr 2009 (17y) | ||
| James Andrew Wolfinger | Registered representative | Apr 2009 (17y) | ||
| Brian Anthony Fleming | Registered representative | Apr 2009 (17y) | ||
| David Westbrook Page | Registered representative | May 2009 (17y) | ||
| Charles Pennock Collings | Registered representative | May 2009 (17y) | ||
| David Stuart Penn | Registered representative | CFA | May 2009 (17y) | |
| Daniel S Levin | Registered representative | May 2009 (17y) | ||
| John Vincent Ruggiero | Registered representative | May 2009 (17y) | ||
| Todd Edward Mitchell | Registered representative | May 2009 (17y) | ||
| Lisa Michelle Ritsko | Registered representative | May 2009 (17y) | ||
| Van Batchelor Noah | Registered representative | CFP | May 2009 (17y) | |
| Robert Garonzik | Registered representative | May 2009 (17y) | ||
| Lisa Ann Brule | Registered representative | CFP | May 2009 (17y) | |
| William John Mastalski | Registered representative | CFP | May 2009 (17y) | |
| Steven Keith Manley | Registered representative | May 2009 (17y) | ||
| Joseph Patrick Hassett | Registered representative | May 2009 (17y) | ||
| Marsha Ann Donovan | Registered representative | May 2009 (17y) | ||
| Andrea Bonita Smith | Registered representative | CFP | Jun 2009 (17y) | |
| John Francis Schafer | Registered representative | Jun 2009 (17y) | ||
| Keith Eugene Livengood | Registered representative | Jun 2009 (17y) | ||
| Danielle Leigh Bartkus | Registered representative | Jun 2009 (17y) | ||
| Andrew Reimann Nehrbas | Registered representative | Jul 2009 (17y) | ||
| Margaret Tegler Hardesty | Registered representative | Jul 2009 (17y) | ||
| Laura Lucille Fullmer | Registered representative | Jul 2009 (17y) | ||
| Timothy Edward Daly | Registered representative | Jul 2009 (17y) | ||
| Carol Greenebaum Hess | Registered representative | Aug 2009 (17y) | ||
| Shannon Joyce Mcgreevy | Registered representative | Sep 2009 (17y) | ||
| Blake Tyler Jones | Registered representative | Sep 2009 (17y) | ||
| Deborah Liane Jones | Registered representative | Sep 2009 (17y) | ||
| Carmine Anthony Scutti | Registered representative | Oct 2009 (17y) | ||
| Elliott Paul Footer | Registered representative | Personal Financial Specialist | Oct 2009 (17y) | |
| Brian Enright | Registered representative | Nov 2009 (17y) | ||
| Barry Falk | Registered representative | Jan 2010 (17y) | ||
| Jennifer Marie Williams | Registered representative | Mar 2010 (16y) | ||
| Peyton Thresher Wylie | Registered representative | May 2010 (16y) | ||
| Michael John Brown | Registered representative | May 2010 (16y) | ||
| Lisa Joy Mc Connell | Registered representative | May 2010 (16y) | ||
| Theresa Mary Goelz | Registered representative | Jul 2010 (16y) | ||
| Christopher Matthew Borden | Registered representative | CFP | Jul 2010 (16y) | |
| Reed Allen Hoover | Registered representative | Sep 2010 (16y) | ||
| Christopher Dane Mahoney | Registered representative | Oct 2010 (16y) | ||
| Philip Taylor Krauss | Registered representative | Oct 2010 (16y) | ||
| Ryan Patrick Mcnamara | Registered representative | Nov 2010 (16y) | ||
| Barry Keith Whalen | Registered representative | Nov 2010 (16y) | ||
| Ronald Stanley Maslanka | Registered representative | Nov 2010 (16y) | ||
| Marianne Mcgovern | Registered representative | Nov 2010 (16y) | ||
| Alexandra Forte | Registered representative | Dec 2010 (16y) | ||
| Brian Thomas Obremski | Registered representative | CFP | Dec 2010 (16y) | |
| Melanie Edith Kregling | Registered representative | CFP | Dec 2010 (16y) | |
| Charles Joseph Noble | Registered representative | Dec 2010 (16y) | ||
| Daniel Mackenzie Lynch | Registered representative | CFP | Dec 2010 (16y) | |
| James John Foley | Registered representative | CFP | Jan 2011 (16y) | |
| Alexander Lawrence Letizia | Registered representative | Feb 2011 (15y) | ||
| Bradley Keith Adams | Registered representative | Mar 2011 (15y) | ||
| Michael Tommeraas | Registered representative | Mar 2011 (15y) | ||
| Suzanne Marie Rumignani | Registered representative | Mar 2011 (15y) | ||
| Steven George Kashishian | Registered representative | Apr 2011 (15y) | ||
| Jason M Phillips | Registered representative | CFP | May 2011 (15y) | |
| Melissa Jeanine Herron | Registered representative | Jun 2011 (15y) | ||
| Michael Lee Bennett | Registered representative | Aug 2011 (15y) | ||
| Nadia Regina Sturgill | Registered representative | Oct 2011 (15y) | ||
| James Jeffrey Dornan | Registered representative | Nov 2011 (15y) | ||
| Anne Corcoran Lurton | Registered representative | Dec 2011 (15y) | ||
| Daniel J Blum | Registered representative | Dec 2011 (15y) | ||
| Philip Hunter Janney | Registered representative | Dec 2011 (15y) | ||
| Tyler Henley Walters | Registered representative | Dec 2011 (15y) | ||
| Thomas Anthony Arvanites | Registered representative | CFP | Jan 2012 (15y) | |
| Shawn Christopher Sauerwein | Registered representative | CFP | Jan 2012 (15y) | |
| Raymond Michael Smesko | Registered representative | Feb 2012 (14y) | ||
| Christine M Lindsay | Registered representative | CFP | Feb 2012 (14y) | |
| Peter Haughton Sargent | Registered representative | CFP CFA | Feb 2012 (14y) | |
| Salvatore J Tocco | Registered representative | Mar 2012 (14y) | ||
| Bonnie Katherine Roberts | Registered representative | Mar 2012 (14y) | ||
| Maryann Barrett | Registered representative | Mar 2012 (14y) | ||
| Peter Edwin Sampson | Registered representative | Mar 2012 (14y) | ||
| Douglass F Ergood | Registered representative | Mar 2012 (14y) | ||
| Lawrence Scott Richards | Registered representative | CFP | Mar 2012 (14y) | |
| Michael John Halloran | Registered representative | CFA | May 2012 (14y) | |
| Thomas Andrew Graham | Registered representative | May 2012 (14y) | ||
| Joseph Charles Lombardo | Registered representative | CFP | Jun 2012 (14y) | |
| David Angel Silva | Registered representative | Jun 2012 (14y) | ||
| Robert Leigh Gerstenberger | Registered representative | CFP | Jul 2012 (14y) | |
| Jack Zotti | Registered representative | Jul 2012 (14y) | ||
| Steven Welles Edwards | Registered representative | Aug 2012 (14y) | ||
| Arnold Charles Carnevale | Registered representative | Aug 2012 (14y) | ||
| Jeffrey Joseph Smith | Registered representative | Aug 2012 (14y) | ||
| Jeffrey Paul Genkinger | Registered representative | CFP | Sep 2012 (14y) | |
| George Humbert Keith | Registered representative | Sep 2012 (14y) | ||
| Andrew Milton Kistler | Registered representative | Sep 2012 (14y) | ||
| Ernest Howard Stanley | Registered representative | Sep 2012 (14y) | ||
| Christine Hartman | Registered representative | Oct 2012 (14y) | ||
| Ethan David Lindbloom | Registered representative | CFP | Oct 2012 (14y) | |
| Timothy Healey | Registered representative | CFP | Dec 2012 (14y) | |
| Lawrence Lyons Orr | Registered representative | Dec 2012 (14y) | ||
| Albert Patrick Pierce | Registered representative | Jan 2013 (14y) | ||
| John R Kline | Registered representative | Feb 2013 (13y) | ||
| Joshua Patrick Brien | Registered representative | Feb 2013 (13y) | ||
| Christine Barbra Stefanski | Registered representative | Feb 2013 (13y) | ||
| Timothy Michael Moynihan | Registered representative | Mar 2013 (13y) | ||
| Christopher Lloyd Rockwell | Registered representative | CFP | Apr 2013 (13y) | |
| Julie Marie Flugel | Registered representative | CFP | Apr 2013 (13y) | |
| Robert John Banasiak | Registered representative | Apr 2013 (13y) | ||
| Frank Charles Midili | Registered representative | May 2013 (13y) | ||
| Robert Brand Fischer | Registered representative | CFP | May 2013 (13y) | |
| Michael Adam Ewanouski | Registered representative | May 2013 (13y) | ||
| Randall Lee Renneisen | Registered representative | May 2013 (13y) | ||
| Elizabeth Cecchine Miller | Registered representative | May 2013 (13y) | ||
| Michael Roy Slaymaker | Registered representative | CFP | May 2013 (13y) | |
| Alyssum Mae Keefer | Registered representative | Jun 2013 (13y) | ||
| Christopher Thomas Smith | Registered representative | Jun 2013 (13y) | ||
| Julie Elizabeth Hall | Registered representative | Jun 2013 (13y) | ||
| Karen Yingling Seipp | Registered representative | Jun 2013 (13y) | ||
| Scott David Ford | Registered representative | Jun 2013 (13y) | ||
| Vincent Carmen Crognale | Registered representative | Aug 2013 (13y) | ||
| Christopher B Franz | Registered representative | Sep 2013 (13y) | ||
| Philip Steven Diprimio | Registered representative | Sep 2013 (13y) | ||
| Sean Patrick Fitzgibbon | Registered representative | Sep 2013 (13y) | ||
| Erik T Fromm | Registered representative | CFP | Sep 2013 (13y) | |
| James A Rachlin | Registered representative | CFP Chartered Financial Consultant | Sep 2013 (13y) | |
| Jennifer E Lange | Registered representative | Oct 2013 (13y) | ||
| Robert Mark Borkowski | Registered representative | Oct 2013 (13y) | ||
| Robert Schwartz Black | Registered representative | Oct 2013 (13y) | ||
| Edward Harry Blumenthal | Registered representative | Oct 2013 (13y) | ||
| Vincent Frank Criniti | Registered representative | Oct 2013 (13y) | ||
| Stacy Havey Albrecht | Registered representative | Oct 2013 (13y) | ||
| Stephen Dennis | Registered representative | Oct 2013 (13y) | ||
| John Matthew Goles | Registered representative | Nov 2013 (13y) | ||
| Bryan Carney | Registered representative | CFP | Nov 2013 (13y) | |
| Coleen Kramer Beal | Registered representative | Nov 2013 (13y) | ||
| Douglas Paul Velnoskey | Registered representative | CFP | Nov 2013 (13y) | |
| Kristine Marie Guisao Barreto | Registered representative | Nov 2013 (13y) | ||
| Andrew Richard Alcarese | Registered representative | CFP | Nov 2013 (13y) | |
| Dana Elizabeth Wilkins | Registered representative | Nov 2013 (13y) | ||
| Thomas Anthony Mcdonald | Registered representative | Dec 2013 (13y) | ||
| Andrew John Lawson | Registered representative | CFP | Dec 2013 (13y) | |
| Heather Lorraine Ginty | Registered representative | Dec 2013 (13y) | ||
| Thomas Beck | Registered representative | Dec 2013 (13y) | ||
| Steven William Goldfarb | Registered representative | Jan 2014 (13y) | ||
| John Wells Chapman | Registered representative | Jan 2014 (13y) | ||
| Geremy Lee Hoover | Registered representative | CFP | Feb 2014 (12y) | |
| George Mina Zaki | Registered representative | Mar 2014 (12y) | ||
| Steven Charles Guggenheimer | Registered representative | Mar 2014 (12y) | ||
| Charles B Millar | Registered representative | Mar 2014 (12y) | ||
| Jennifer Lyn Burgio | Registered representative | CFP | Mar 2014 (12y) | |
| Michael Jason Levanon | Registered representative | Apr 2014 (12y) | ||
| Caitlin Lindsey Ulmer Long | Registered representative | CFP | May 2014 (12y) | |
| Joseph Peter Canciglia | Registered representative | CFP | Jun 2014 (12y) | |
| Michael Paul Kozik | Registered representative | CFP | Jun 2014 (12y) | |
| Michael Andrew Lynfield | Registered representative | Jun 2014 (12y) | ||
| Lauren T Harper | Registered representative | CFP | Jul 2014 (12y) | |
| Laura Ellen Pontz | Registered representative | Jul 2014 (12y) | ||
| Ryan J Hamilton | Registered representative | CFP | Jul 2014 (12y) | |
| Laura Marie Williams | Registered representative | Aug 2014 (12y) | ||
| William Robert Poff | Registered representative | Aug 2014 (12y) | ||
| Michael Patrick Reese | Registered representative | Aug 2014 (12y) | ||
| Robert Thomas Hoey | Registered representative | Sep 2014 (12y) | ||
| Anthony Steven Di Donato | Registered representative | Oct 2014 (12y) | ||
| Stuart Lee Peterson | Registered representative | Oct 2014 (12y) | ||
| Joseph Arthur Bell | Registered representative | Chartered Financial Consultant | Oct 2014 (12y) | |
| Jessica Jo Meek | Registered representative | Nov 2014 (12y) | ||
| Nicole Lefebvre Gooding | Registered representative | CFP | Nov 2014 (12y) | |
| Susan Jennifer Stabley | Registered representative | Nov 2014 (12y) | ||
| Daniel Joseph Carney | Registered representative | Nov 2014 (12y) | ||
| Aaron Michael Byrd Leitner | Registered representative | Nov 2014 (12y) | ||
| Michael Woodward Johnson | Registered representative | Nov 2014 (12y) | ||
| Mitchell Neal Altro | Registered representative | Dec 2014 (12y) | ||
| Bruce Todd Somer | Registered representative | Dec 2014 (12y) | ||
| Joel Richard Meeks | Registered representative | Jan 2015 (12y) | ||
| Andrew Gary Shaw | Registered representative | Jan 2015 (12y) | ||
| Daniel Joseph Honan | Registered representative | Jan 2015 (12y) | ||
| Joanna Campbell Thompson | Registered representative | Jan 2015 (12y) | ||
| Eric Michael Miller | Registered representative | Jan 2015 (12y) | ||
| James Cleatus Owens | Registered representative | Jan 2015 (12y) | ||
| Cynthia Elise Morris | Registered representative | Feb 2015 (11y) | ||
| Michael Thomas Nolan | Registered representative | Feb 2015 (11y) | ||
| Ryan Patrick Burns | Registered representative | Feb 2015 (11y) | ||
| Matthew Joseph Hassett | Registered representative | Mar 2015 (11y) | ||
| Alexandra Nicole Donker | Registered representative | Mar 2015 (11y) | ||
| John Todd Pauliny | Registered representative | Apr 2015 (11y) | ||
| Frederick Adam Zeller | Registered representative | Apr 2015 (11y) | ||
| Doran Michael Young | Registered representative | May 2015 (11y) | ||
| Dena Bodie Wofford | Registered representative | May 2015 (11y) | ||
| William Deschamps Blackford | Registered representative | May 2015 (11y) | ||
| Donna Kay Able | Registered representative | May 2015 (11y) | ||
| Laurie Lynn Daugs | Registered representative | Jun 2015 (11y) | ||
| Mary Katherine P Luu | Registered representative | Jun 2015 (11y) | ||
| Michael J Ballestrini | Registered representative | CFP | Jun 2015 (11y) | |
| Scott Jeffrey Karpiak | Registered representative | Aug 2015 (11y) | ||
| Joseph Patrick Lucien | Registered representative | Aug 2015 (11y) | ||
| Nellie Honan Methot | Registered representative | CFP | Aug 2015 (11y) | |
| Melissa Gregory Garrett | Registered representative | Sep 2015 (11y) | ||
| Jessica Suzanne Niles | Registered representative | Sep 2015 (11y) | ||
| James Thorp | Registered representative | Oct 2015 (11y) | ||
| Martin S Schamis | Registered representative | CFP | Oct 2015 (11y) | |
| Courtney Paige Carnevale | Registered representative | CFP | Oct 2015 (11y) | |
| Scott Fletcher Singer | Registered representative | Oct 2015 (11y) | ||
| Melinda Beaufort Vargulish | Registered representative | Oct 2015 (11y) | ||
| James Michael Winner | Registered representative | CFP | Oct 2015 (11y) | |
| Jennifer Lynn Pianello | Registered representative | Nov 2015 (11y) | ||
| Julie S Carroll | Registered representative | Dec 2015 (11y) | ||
| Christopher Joseph Filicky | Registered representative | Dec 2015 (11y) | ||
| Carole French Schreck | Registered representative | CFP | Dec 2015 (11y) | |
| Mitchell Lerner | Registered representative | Jan 2016 (11y) | ||
| James Donald Routhier | Registered representative | Jan 2016 (11y) | ||
| William Lawrence Steen | Registered representative | Jan 2016 (11y) | ||
| John Poindexter Irby | Registered representative | Jan 2016 (11y) | ||
| Richard Anthony Ranone | Registered representative | CFP | Jan 2016 (11y) | |
| Jessica Louise Landis | Registered representative | CFP | Mar 2016 (10y) | |
| Patrick Gorman Resch | Registered representative | Mar 2016 (10y) | ||
| David R Spetgang | Registered representative | Mar 2016 (10y) | ||
| Heidi Lynn Etzweiler Jones | Registered representative | Mar 2016 (10y) | ||
| Jeremy Adam Lambert | Registered representative | Mar 2016 (10y) | ||
| Michael Dwight Porter | Registered representative | Mar 2016 (10y) | ||
| Peter James Adcroft | Registered representative | Apr 2016 (10y) | ||
| Christopher A Moler | Registered representative | CFP | Apr 2016 (10y) | |
| Drew Gerard Deimling | Registered representative | Apr 2016 (10y) | ||
| Jeffrey Alan Mossbarger | Registered representative | Apr 2016 (10y) | ||
| Lisa Elaine Willhoite | Registered representative | Apr 2016 (10y) | ||
| David Vincent Berretta | Registered representative | Apr 2016 (10y) | ||
| Mary Anna Via | Registered representative | Apr 2016 (10y) | ||
| Michael Charles Gochenour | Registered representative | Apr 2016 (10y) | ||
| Hugh James Lantz | Registered representative | Apr 2016 (10y) | ||
| Nadav Nachum Baum | Registered representative | May 2016 (10y) | ||
| Michael Joseph Cowles | Registered representative | CFP | May 2016 (10y) | |
| Kathryn Taylor | Registered representative | May 2016 (10y) | ||
| Jason James Wood | Registered representative | May 2016 (10y) | ||
| Ghazal Eghbali Afshar | Registered representative | CFP | May 2016 (10y) | |
| Mary Ruth Wilson | Registered representative | May 2016 (10y) | ||
| Samer Alnaham | Registered representative | Jun 2016 (10y) | ||
| Kenneth Frank Sarpu | Registered representative | Jun 2016 (10y) | ||
| John E Schwear | Registered representative | Jun 2016 (10y) | ||
| Ryan Steckler | Registered representative | Jul 2016 (10y) | ||
| Brandon David Fanelle | Registered representative | Aug 2016 (10y) | ||
| Jacqueline Nicole Blosser | Registered representative | Sep 2016 (10y) | ||
| Lynne K Miller | Registered representative | Sep 2016 (10y) | ||
| Scott Ryan Greenspon | Registered representative | Sep 2016 (10y) | ||
| Michael D Dadko | Registered representative | CFP | Sep 2016 (10y) | |
| Barry Joseph Saluk | Registered representative | Oct 2016 (10y) | ||
| Jared William Bloxsom | Registered representative | CFP | Oct 2016 (10y) | |
| Paul Francis Vaida | Registered representative | CFP | Oct 2016 (10y) | |
| Nathan Thomas Snyder | Registered representative | CFA | Oct 2016 (10y) | |
| Sandra Jean Lashmit | Registered representative | Oct 2016 (10y) | ||
| Edward Anson Bartlett | Registered representative | Nov 2016 (10y) | ||
| Edmund Marshal Broomhead | Registered representative | Nov 2016 (10y) | ||
| Craig Mcgovern | Registered representative | CFP | Dec 2016 (10y) | |
| Frank B Hundley | Registered representative | CFP | Dec 2016 (10y) | |
| Claudette Louise Boudreaux | Registered representative | Dec 2016 (10y) | ||
| Charles Andrew May | Registered representative | Dec 2016 (10y) | ||
| Daniel Robert Herman | Registered representative | Dec 2016 (10y) | ||
| Michael Callas | Registered representative | CFP | Jan 2017 (10y) | |
| Joseph Melville Broughton | Registered representative | Feb 2017 (9y) | ||
| Matthew E Lagoy | Registered representative | CFP | Feb 2017 (9y) | |
| Albert Vincent Digiacomo | Registered representative | CFA | Feb 2017 (9y) | |
| Marvin Vernon Snyder | Registered representative | Feb 2017 (9y) | ||
| Burton Daniel | Registered representative | Feb 2017 (9y) | ||
| David Knox Raymond | Registered representative | Feb 2017 (9y) | ||
| Kirk Stephen Kolligian | Registered representative | Feb 2017 (9y) | ||
| Shurdonna S Joseph | Registered representative | CFP | Feb 2017 (9y) | |
| Lynne Rosenfeld | Registered representative | Mar 2017 (9y) | ||
| Michael Eugene Toner | Registered representative | Mar 2017 (9y) | ||
| Omar Khalifa | Registered representative | Mar 2017 (9y) | ||
| David Ellery Jennings | Registered representative | Mar 2017 (9y) | ||
| Raymond T Wiley | Registered representative | Mar 2017 (9y) | ||
| Melissa Mae Ferro | Registered representative | Apr 2017 (9y) | ||
| Harry Joseph Kennedy | Registered representative | Apr 2017 (9y) | ||
| Joseph Raymond Sheehan | Registered representative | Apr 2017 (9y) | ||
| Deborah Marion Field | Registered representative | May 2017 (9y) | ||
| David Bruce Moss | Registered representative | May 2017 (9y) | ||
| Elizabeth Ann Freeman | Registered representative | May 2017 (9y) | ||
| Charles Frank Testarella | Registered representative | May 2017 (9y) | ||
| Shane Francis O'brien | Registered representative | May 2017 (9y) | ||
| Zane Rayomund Byramji | Registered representative | May 2017 (9y) | ||
| Michael Robert Patitucci | Registered representative | May 2017 (9y) | ||
| Jesse Gordon Parks | Registered representative | Jun 2017 (9y) | ||
| Charles Francis Xavier Poggi | Registered representative | Jun 2017 (9y) | ||
| Christopher Michael Peters | Registered representative | Jul 2017 (9y) | ||
| Kevin Thomas Adams | Registered representative | Jul 2017 (9y) | ||
| Timothy Joseph Sullivan | Registered representative | Jul 2017 (9y) | ||
| Athena Katsis Doty | Registered representative | Aug 2017 (9y) | ||
| Meagan Jackson Bourgeois | Registered representative | Aug 2017 (9y) | ||
| Seth William Silverman | Registered representative | Aug 2017 (9y) | ||
| Bennett Christopher Walker | Registered representative | Aug 2017 (9y) | ||
| Kim Alan Richardson | Registered representative | Aug 2017 (9y) | ||
| Quinn Karpiak | Registered representative | Aug 2017 (9y) | ||
| Christopher Charles Walkley | Registered representative | Aug 2017 (9y) | ||
| L J Knoll | Registered representative | Aug 2017 (9y) | ||
| Christopher Ryan Macpherson | Registered representative | Aug 2017 (9y) | ||
| Evan Thomas Gilchrest | Registered representative | CFP | Aug 2017 (9y) | |
| James Poliner | Registered representative | Aug 2017 (9y) | ||
| Michael George Rossley | Registered representative | CFP | Aug 2017 (9y) | |
| Rebecca Dotson | Registered representative | Aug 2017 (9y) | ||
| Francisco Javier Amigo | Registered representative | Sep 2017 (9y) | ||
| Brendan Patrick Flaherty | Registered representative | CFP | Sep 2017 (9y) | |
| Sandra Cummings | Registered representative | CFP | Sep 2017 (9y) | |
| Susan Finnegan Beard | Registered representative | Sep 2017 (9y) | ||
| John Thomas Hardiman | Registered representative | Sep 2017 (9y) | ||
| William Edward Lepping | Registered representative | Sep 2017 (9y) | ||
| Fady Clement Maghak | Registered representative | CFP | Sep 2017 (9y) | |
| Victor Manuel Fernandez | Registered representative | CFP | Sep 2017 (9y) | |
| Tracey Schusterman | Registered representative | CFP | Sep 2017 (9y) | |
| Timothy R Brown | Registered representative | CFP | Oct 2017 (9y) | |
| Gary Timothy Lukachinski | Registered representative | CFP | Oct 2017 (9y) | |
| Andrew S Vitek | Registered representative | Oct 2017 (9y) | ||
| Michael H. Oliver | Registered representative | Oct 2017 (9y) | ||
| Jenny D Daly | Registered representative | CFP | Oct 2017 (9y) | |
| Gary Wusterbarth | Registered representative | Oct 2017 (9y) | ||
| Thomas Paz | Registered representative | Nov 2017 (9y) | ||
| Matthew Joseph Cramer | Registered representative | Nov 2017 (9y) | ||
| Nancy Jane Carmean | Registered representative | Nov 2017 (9y) | ||
| Seth Michael Ash | Registered representative | Nov 2017 (9y) | ||
| Bryan Kirkwood Eberly | Registered representative | Nov 2017 (9y) | ||
| John Ravenel Chase | Registered representative | CFP | Nov 2017 (9y) | |
| Virginia Simkins Allen | Registered representative | Nov 2017 (9y) | ||
| Michael Patrick Geisen | Registered representative | Nov 2017 (9y) | ||
| Reginald Wayman Wilkes | Registered representative | Nov 2017 (9y) | ||
| Justin Michael Walter | Registered representative | Nov 2017 (9y) | ||
| R Gene Gaillard | Registered representative | Dec 2017 (9y) | ||
| Stephen Jay Zales | Registered representative | Dec 2017 (9y) | ||
| Alexandra Marie Niederhelman | Registered representative | CFP | Dec 2017 (9y) | |
| Kimberly Ann Wright | Registered representative | CFP | Jan 2018 (9y) | |
| Ann Winifred Hayes | Registered representative | Jan 2018 (9y) | ||
| Scott Jason Horowitz | Registered representative | Jan 2018 (9y) | ||
| Shelly Elizabeth Delucas | Registered representative | Jan 2018 (9y) | ||
| John Carlo Troiano | Registered representative | Jan 2018 (9y) | ||
| Paul Aris | Registered representative | Jan 2018 (9y) | ||
| Alexandros S Vlahos | Registered representative | CFP | Feb 2018 (9y) | |
| Bryan Barry Pickell | Registered representative | CFP | Feb 2018 (8y) | |
| Kasseim Everett | Registered representative | Feb 2018 (8y) | ||
| John Robert Cortapasso | Registered representative | CFP | Feb 2018 (8y) | |
| Jeramy Douglas May | Registered representative | Mar 2018 (8y) | ||
| Kimberly Nelson | Registered representative | Mar 2018 (8y) | ||
| Matthew John Buikema | Registered representative | Mar 2018 (8y) | ||
| Michael David Oursler | Registered representative | Mar 2018 (8y) | ||
| Renee Jean Giles | Registered representative | Mar 2018 (8y) | ||
| Travis Glenn Morse | Registered representative | Mar 2018 (8y) | ||
| David Varela | Registered representative | Mar 2018 (8y) | ||
| Brian Paul Cuttic | Registered representative | Mar 2018 (8y) | ||
| Zoe Torres Lyle | Registered representative | Mar 2018 (8y) | ||
| Matthew Neal Loitz | Registered representative | CFP | May 2018 (8y) | |
| Leo Michael Connors | Registered representative | May 2018 (8y) | ||
| Leo Michael Connors | Registered representative | CFP | May 2018 (8y) | |
| Thomas James Leary | Registered representative | Jun 2018 (8y) | ||
| Gregory Kevin Nappo | Registered representative | Jun 2018 (8y) | ||
| Mario Ignacio Medina | Registered representative | Jun 2018 (8y) | ||
| Kevin Michael Keane | Registered representative | Jun 2018 (8y) | ||
| Timothy Patrick Gormley | Registered representative | CFP | Jun 2018 (8y) | |
| Justin Thomas Myers | Registered representative | CFP | Jun 2018 (8y) | |
| Kathleen Maria Zelenka | Registered representative | Jun 2018 (8y) | ||
| Paul Michael Furlong | Registered representative | Jun 2018 (8y) | ||
| John Phillip Casale | Registered representative | Jun 2018 (8y) | ||
| Tyler Lee Lerman | Registered representative | CFP Chartered Financial Consultant | Jun 2018 (8y) | |
| Steven N Perlman | Registered representative | Jun 2018 (8y) | ||
| Keleigh Marie Sopher | Registered representative | CFP | Jul 2018 (8y) | |
| Jeffrey Myers | Registered representative | Jul 2018 (8y) | ||
| Joseph James Kavanagh | Registered representative | Jul 2018 (8y) | ||
| Brian Clark Enright | Registered representative | Jul 2018 (8y) | ||
| Craig Sherrer | Registered representative | Aug 2018 (8y) | ||
| John G Kernicky | Registered representative | Aug 2018 (8y) | ||
| Michael Kernicky | Registered representative | CFP | Aug 2018 (8y) | |
| Michael Joseph Kernicky | Registered representative | CFP | Aug 2018 (8y) | |
| Robert Wayne Shealy | Registered representative | CFP | Aug 2018 (8y) | |
| William Ford Peck | Registered representative | Aug 2018 (8y) | ||
| William Neill Peck | Registered representative | Aug 2018 (8y) | ||
| Julie Eleazer Haltiwanger | Registered representative | Aug 2018 (8y) | ||
| Glenn Hall Ratcliffe | Registered representative | CFP | Aug 2018 (8y) | |
| William Michael Moore | Registered representative | CFP | Aug 2018 (8y) | |
| Richard John Ballou | Registered representative | Sep 2018 (8y) | ||
| William F Daniels | Registered representative | Sep 2018 (8y) | ||
| Jennifer Anne Hawkins | Registered representative | Sep 2018 (8y) | ||
| Brian Anthony Monroe | Registered representative | Oct 2018 (8y) | ||
| Jay Lynn Guyer | Registered representative | CFP Chartered Financial Consultant | Oct 2018 (8y) | |
| James Edward Farrell | Registered representative | Oct 2018 (8y) | ||
| Lee Garner Springer | Registered representative | Oct 2018 (8y) | ||
| Matthew Hyun Kroehler | Registered representative | Oct 2018 (8y) | ||
| Kyle W Robostello | Registered representative | Oct 2018 (8y) | ||
| Ryan Marshall | Registered representative | Oct 2018 (8y) | ||
| Erin Elizabeth Antill | Registered representative | Oct 2018 (8y) | ||
| Hany Farag | Registered representative | Nov 2018 (8y) | ||
| Mark Edward Popp | Registered representative | CFP | Nov 2018 (8y) | |
| Benjamin Howard Halter | Registered representative | Nov 2018 (8y) | ||
| Sharland Baker | Registered representative | Nov 2018 (8y) | ||
| Kathleen Serano Vasko | Registered representative | CFP Chartered Financial Consultant | Nov 2018 (8y) | |
| Gary Steven Halter | Registered representative | Nov 2018 (8y) | ||
| Daniel Joseph Wolfgang | Registered representative | Nov 2018 (8y) | ||
| Emily G Wernly | Registered representative | CFP | Nov 2018 (8y) | |
| Ronald Henry Holmes | Registered representative | Nov 2018 (8y) | ||
| Whitney Eck Riley | Registered representative | Nov 2018 (8y) | ||
| Dara Gibbs | Registered representative | CFP | Dec 2018 (8y) | |
| Sheldon Wallace Ferriss | Registered representative | Dec 2018 (8y) | ||
| Jessica Floyd Hill | Registered representative | Jan 2019 (8y) | ||
| Jocelyn Thomas Nedumcheril | Registered representative | Jan 2019 (8y) | ||
| Oona Louise Raffensberger | Registered representative | Jan 2019 (8y) | ||
| Timothy Regan | Registered representative | Jan 2019 (8y) | ||
| Patricia Marie Grady | Registered representative | Jan 2019 (8y) | ||
| Wayne Adger Howle | Registered representative | Jan 2019 (8y) | ||
| Montgomery Chase Bradley | Registered representative | Jan 2019 (8y) | ||
| Thomas Aloysius Gallagher | Registered representative | Jan 2019 (8y) | ||
| Antoinette P Lombardi | Registered representative | Jan 2019 (8y) | ||
| Joseph Moosa | Registered representative | Jan 2019 (8y) | ||
| William Ray Nice | Registered representative | Feb 2019 (7y) | ||
| Jason Mc Evoy | Registered representative | Feb 2019 (7y) | ||
| Colleen Claire Mackenzie Doino | Registered representative | Feb 2019 (7y) | ||
| Douglas Francis Macdonald | Registered representative | Feb 2019 (7y) | ||
| Kenneth Harlon Neal | Registered representative | Feb 2019 (7y) | ||
| Christina Maria Mcginn | Registered representative | Feb 2019 (7y) | ||
| Jordan Tyler Russell | Registered representative | CFP | Feb 2019 (7y) | |
| Michael Walter Hassell | Registered representative | Feb 2019 (7y) | ||
| Stacey Kea Altemus | Registered representative | Feb 2019 (7y) | ||
| Frederick Charles Leonard | Registered representative | Mar 2019 (7y) | ||
| Frederick Charles Leonard | Registered representative | Mar 2019 (7y) | ||
| Karl Alvin Ernst | Registered representative | Mar 2019 (7y) | ||
| Roberto Rosa | Registered representative | Mar 2019 (7y) | ||
| Susan A Miranda | Registered representative | Mar 2019 (7y) | ||
| Lauren Danielle Clark | Registered representative | Mar 2019 (7y) | ||
| Donna Lorraine Judge | Registered representative | Mar 2019 (7y) | ||
| Scott Andrew Trevethan | Registered representative | Mar 2019 (7y) | ||
| Robert Vernon Mouro | Registered representative | CFP | Mar 2019 (7y) | |
| Kyle Edward Cathcart | Registered representative | Mar 2019 (7y) | ||
| Philip L Fried | Registered representative | CFP | Mar 2019 (7y) | |
| Jason Scott Bentley | Registered representative | CFP | Apr 2019 (7y) | |
| Ryan Julius Zemke | Registered representative | CFP | Apr 2019 (7y) | |
| Brenda J Somers | Registered representative | Apr 2019 (7y) | ||
| Lisa A Somers | Registered representative | Apr 2019 (7y) | ||
| Jeffrey Thomas Schultz | Registered representative | CFP | Apr 2019 (7y) | |
| Kevin P Mckane | Registered representative | CFP | Apr 2019 (7y) | |
| Laura Ann Medigovich | Registered representative | CFP Chartered Financial Consultant | Apr 2019 (7y) | |
| Julie Knight | Registered representative | CFP | Apr 2019 (7y) | |
| Michael Patrick Reynolds | Registered representative | CFP | Apr 2019 (7y) | |
| Christian Peter Cappello | Registered representative | May 2019 (7y) | ||
| Colin P Burke | Registered representative | Jun 2019 (7y) | ||
| Katherine L Bear | Registered representative | Jun 2019 (7y) | ||
| Michael J Johnson | Registered representative | Jun 2019 (7y) | ||
| Stephen Mark Gansler | Registered representative | Chartered Financial Consultant | Jun 2019 (7y) | |
| Kenneth Mark Wapnitsky | Registered representative | CFP | Jun 2019 (7y) | |
| Brett Aubrey Vetensky | Registered representative | Jun 2019 (7y) | ||
| Amy Tanner Cornelius | Registered representative | Jun 2019 (7y) | ||
| Charles Mark Willoughby | Registered representative | Jun 2019 (7y) | ||
| Granville Trey E Hastings | Registered representative | Jun 2019 (7y) | ||
| Oliver D Beck | Registered representative | CFP | Jun 2019 (7y) | |
| Ronald S Miller | Registered representative | Jun 2019 (7y) | ||
| Steven Elliot Cooper | Registered representative | CFP | Jun 2019 (7y) | |
| Michael David Uhland | Registered representative | Jun 2019 (7y) | ||
| Kevin Timothy Hoonan | Registered representative | Jun 2019 (7y) | ||
| Mary Ellen Mccullagh | Registered representative | Jun 2019 (7y) | ||
| Angela Christine Winburn | Registered representative | Jul 2019 (7y) | ||
| William Haslett Sewell | Registered representative | Jul 2019 (7y) | ||
| Brandon James Monahan | Registered representative | CFP | Aug 2019 (7y) | |
| Patricia Mcdonald | Registered representative | Aug 2019 (7y) | ||
| Heather Ann Robb | Registered representative | Aug 2019 (7y) | ||
| Julie Lynn Maxwell | Registered representative | Aug 2019 (7y) | ||
| Marilyn Tina Mantziaris | Registered representative | Aug 2019 (7y) | ||
| Patricia Mc Call Doverspike | Registered representative | CFP | Aug 2019 (7y) | |
| Kenneth Rondal Couser | Registered representative | CFP | Aug 2019 (7y) | |
| Nathaniel John Wineland | Registered representative | CFP | Aug 2019 (7y) | |
| David Christian Luke | Registered representative | Sep 2019 (7y) | ||
| Edwin Gabriel Waingart | Registered representative | CFP | Sep 2019 (7y) | |
| George A Koutsioukis | Registered representative | Sep 2019 (7y) | ||
| Shawn Okula | Registered representative | Sep 2019 (7y) | ||
| Christopher James Ozazewski | Registered representative | CFP | Oct 2019 (7y) | |
| Elizabeth Ann Plunkett | Registered representative | Oct 2019 (7y) | ||
| Eric B. Decker | Registered representative | Oct 2019 (7y) | ||
| Mary Anne Hartney | Registered representative | Oct 2019 (7y) | ||
| Jack John Cintorino | Registered representative | Oct 2019 (7y) | ||
| Michael Lopes | Registered representative | CFP Chartered Financial Consultant | Oct 2019 (7y) | |
| Joseph Michael Wolf | Registered representative | Nov 2019 (7y) | ||
| Angela R Danko | Registered representative | Nov 2019 (7y) | ||
| Lynn Suzanne Erskine | Registered representative | CFP CFA | Nov 2019 (7y) | |
| Edward Spann Reames | Registered representative | Nov 2019 (7y) | ||
| Michael Owen Gaddis | Registered representative | Dec 2019 (7y) | ||
| Timothy Mcdermott | Registered representative | Dec 2019 (7y) | ||
| Joanne Sue Jupiter | Registered representative | Dec 2019 (7y) | ||
| Timothy Smith Jones | Registered representative | Dec 2019 (7y) | ||
| Teresa Lynn Swimm | Registered representative | Jan 2020 (7y) | ||
| Christopher Byron Graper | Registered representative | CFP | Jan 2020 (7y) | |
| Dawn Autin Dupre | Registered representative | Jan 2020 (7y) | ||
| Kathleen A Fisher | Registered representative | Jan 2020 (7y) | ||
| Megan Elizabeth Dupre Keating | Registered representative | Jan 2020 (7y) | ||
| Sarah Lindsay Stevens Smith | Registered representative | Jan 2020 (7y) | ||
| Sherry M Kimball | Registered representative | Jan 2020 (7y) | ||
| Carmine A Tango | Registered representative | Jan 2020 (7y) | ||
| Vito Anthony Tango | Registered representative | Jan 2020 (7y) | ||
| Laura Mitchener | Registered representative | Feb 2020 (6y) | ||
| Mackenzie Patricia Johnson | Registered representative | Feb 2020 (6y) | ||
| Alexis Jankauskas | Registered representative | Feb 2020 (6y) | ||
| Avery Sellmann Rodts | Registered representative | Feb 2020 (6y) | ||
| Jimmy Ray Hare | Registered representative | Feb 2020 (6y) | ||
| Asa Cort | Registered representative | Mar 2020 (6y) | ||
| Thomas Edward Seger | Registered representative | CFP | Mar 2020 (6y) | |
| Sheryl Dawn Oswald | Registered representative | CFP | Mar 2020 (6y) | |
| Abraham Paul Horowitz | Registered representative | CFP | Mar 2020 (6y) | |
| Todd David Bernstein | Registered representative | Apr 2020 (6y) | ||
| Barry Edwin Horne | Registered representative | May 2020 (6y) | ||
| Jillian Horne Rhyner | Registered representative | CFP | May 2020 (6y) | |
| Tyler E Graham | Registered representative | May 2020 (6y) | ||
| James Rustin Bryant | Registered representative | May 2020 (6y) | ||
| Thomas Alexander Conaghan | Registered representative | Jun 2020 (6y) | ||
| Robert Joseph Bowman | Registered representative | Jun 2020 (6y) | ||
| Jeff William Sellers | Registered representative | Jun 2020 (6y) | ||
| Bernie Lee Townes | Registered representative | Jun 2020 (6y) | ||
| Brian Murphy Gary | Registered representative | Jun 2020 (6y) | ||
| Elizabeth Anne Young | Registered representative | Jun 2020 (6y) | ||
| Gregory Finley Young | Registered representative | CFP | Jun 2020 (6y) | |
| Jennifer C Cutolo | Registered representative | Jun 2020 (6y) | ||
| Sydney Marie Halloran | Registered representative | CFP | Jun 2020 (6y) | |
| Amy Begnaud | Registered representative | CFP | Jun 2020 (6y) | |
| Gary Begnaud | Registered representative | Jun 2020 (6y) | ||
| Sarah Rae Kennedy | Registered representative | Jun 2020 (6y) | ||
| Selden Paul Staples | Registered representative | CFP | Jun 2020 (6y) | |
| Anthony Paul Bello | Registered representative | Jul 2020 (6y) | ||
| Joshua Michael White | Registered representative | Jul 2020 (6y) | ||
| Stacy Rae Wolford | Registered representative | Jul 2020 (6y) | ||
| Thomas Henry Wilson | Registered representative | CFP | Jul 2020 (6y) | |
| Tyrone K Mc Clain | Registered representative | Chartered Financial Consultant | Jul 2020 (6y) | |
| Timothy James Ratty | Registered representative | Jul 2020 (6y) | ||
| Brenton P Haupt | Registered representative | Aug 2020 (6y) | ||
| Elody Michna Wagnac | Registered representative | CFP | Aug 2020 (6y) | |
| Robert William Steinke | Registered representative | Aug 2020 (6y) | ||
| Gregory Curtis | Registered representative | Aug 2020 (6y) | ||
| Mark Di Paola | Registered representative | CFP | Aug 2020 (6y) | |
| Kyle Joseph Slane | Registered representative | CFP | Aug 2020 (6y) | |
| Marsha Ann Matthews | Registered representative | Aug 2020 (6y) | ||
| Jennifer Maureen Mon Lei Ng | Registered representative | Aug 2020 (6y) | ||
| Luke Andrew Dowd | Registered representative | Sep 2020 (6y) | ||
| Garrett D Hofer | Registered representative | CFP | Sep 2020 (6y) | |
| Laura Christine Jacobs | Registered representative | Sep 2020 (6y) | ||
| Paul Elmer Townsend | Registered representative | Sep 2020 (6y) | ||
| Gary Edward Mcgovern | Registered representative | Sep 2020 (6y) | ||
| Stephen Edward Krakower | Registered representative | Sep 2020 (6y) | ||
| Samuel Allen Mathis | Registered representative | CFP | Sep 2020 (6y) | |
| Jeffrey Aaron Covitz | Registered representative | Sep 2020 (6y) | ||
| F. Houghton Phillips | Registered representative | Sep 2020 (6y) | ||
| Jason Richard Wolff | Registered representative | Oct 2020 (6y) | ||
| Margaret Nelson Keith | Registered representative | Oct 2020 (6y) | ||
| Dustin Knight Young | Registered representative | CFP | Oct 2020 (6y) | |
| Roark Aaron Young | Registered representative | Oct 2020 (6y) | ||
| Richard Joseph Cardinal | Registered representative | CFP | Nov 2020 (6y) | |
| Crystal D'shanta Woodberry | Registered representative | Nov 2020 (6y) | ||
| Charles J Noble | Registered representative | Nov 2020 (6y) | ||
| William Michael Stacks | Registered representative | Nov 2020 (6y) | ||
| Amy Robin Raisman | Registered representative | Nov 2020 (6y) | ||
| Lynn F Vernillo | Registered representative | Dec 2020 (6y) | ||
| Kirsten Dawn Helmers | Registered representative | Dec 2020 (6y) | ||
| Cindy M Hions Dayoub | Registered representative | Jan 2021 (6y) | ||
| Kevin Todd Myers | Registered representative | CFP | Jan 2021 (6y) | |
| Michael William Vergari | Registered representative | CFP | Jan 2021 (6y) | |
| Richard Scott Phelan | Registered representative | CFP | Jan 2021 (6y) | |
| William Simeon Simpson | Registered representative | Feb 2021 (6y) | ||
| Noel Franklin Simons | Registered representative | Feb 2021 (5y) | ||
| Michael Lawrence Mackintire | Registered representative | Feb 2021 (5y) | ||
| Mark Alton Foley | Registered representative | Feb 2021 (5y) | ||
| Aprenea Mccutchen | Registered representative | Feb 2021 (5y) | ||
| Chase Franklin Alcorn | Registered representative | CFP | Feb 2021 (5y) | |
| Allen W Kiessling | Registered representative | Mar 2021 (5y) | ||
| Brandy Rae Plocinski | Registered representative | Mar 2021 (5y) | ||
| Courtney Kasenchak | Registered representative | Mar 2021 (5y) | ||
| John Richard Confer | Registered representative | Mar 2021 (5y) | ||
| Craig Allen Lewis | Registered representative | Mar 2021 (5y) | ||
| Steven Howard Fox | Registered representative | Mar 2021 (5y) | ||
| Matthew James Levy | Registered representative | Mar 2021 (5y) | ||
| Theodore Nicholas Papadopoulos | Registered representative | Mar 2021 (5y) | ||
| Julie Uzzell Daniels | Registered representative | Mar 2021 (5y) | ||
| Stephen George Powers | Registered representative | Mar 2021 (5y) | ||
| Steven Matthew Lane | Registered representative | CFP | Apr 2021 (5y) | |
| James Dennis Toner | Registered representative | Apr 2021 (5y) | ||
| Anthony Michael Lanzone | Registered representative | Apr 2021 (5y) | ||
| Andrew Foster Meredith | Registered representative | CFP | Apr 2021 (5y) | |
| Joshua Patrick Dupre | Registered representative | CFP | Apr 2021 (5y) | |
| Scott Dahlin Kelly | Registered representative | Apr 2021 (5y) | ||
| Kevin Matthew Lindung | Registered representative | CFP | Apr 2021 (5y) | |
| Andrew Haughton Sargent | Registered representative | Apr 2021 (5y) | ||
| Patrick G Witheril | Registered representative | Apr 2021 (5y) | ||
| Gregory John Kuhn | Registered representative | May 2021 (5y) | ||
| Dominika Fedejko | Registered representative | May 2021 (5y) | ||
| Amy Sue Murray | Registered representative | May 2021 (5y) | ||
| Christopher Warren Gagnier | Registered representative | CFA | May 2021 (5y) | |
| Richard William Morrow | Registered representative | CFP | May 2021 (5y) | |
| Thomas Edward Hicks | Registered representative | May 2021 (5y) | ||
| Michael Thomas Ohlman | Registered representative | May 2021 (5y) | ||
| Regina Elena Ohlman | Registered representative | May 2021 (5y) | ||
| Vincent Dominick Crudo | Registered representative | May 2021 (5y) | ||
| Paul Denis Girard | Registered representative | May 2021 (5y) | ||
| Kyle Michael Lingg | Registered representative | May 2021 (5y) | ||
| Kaitlin Nicole Lepre | Registered representative | Jun 2021 (5y) | ||
| Michael S Archer | Registered representative | Jun 2021 (5y) | ||
| Scott David Archer | Registered representative | Jun 2021 (5y) | ||
| Dawn Marie Bloom | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Ryan Tidwell | Registered representative | Jul 2021 (5y) | ||
| Linda D Wall | Registered representative | Jul 2021 (5y) | ||
| Michael Lawrence Graves | Registered representative | Jul 2021 (5y) | ||
| David George Grahn | Registered representative | Jul 2021 (5y) | ||
| George Donald Mackenzie | Registered representative | Jul 2021 (5y) | ||
| Jeannie Christine Willits | Registered representative | Jul 2021 (5y) | ||
| Paul Joseph Lofurno | Registered representative | Jul 2021 (5y) | ||
| Robert Nicholas Cappelli | Registered representative | Jul 2021 (5y) | ||
| Brad G Bender | Registered representative | Jul 2021 (5y) | ||
| Mandie Hendricks | Registered representative | CFP | Jul 2021 (5y) | |
| Peter Michael Butera | Registered representative | Jul 2021 (5y) | ||
| Steven E Jordan | Registered representative | Jul 2021 (5y) | ||
| Tracy A Smithnosky | Registered representative | Jul 2021 (5y) | ||
| Christopher Michael Walters | Registered representative | Jul 2021 (5y) | ||
| James Bernard Kraft | Registered representative | Jul 2021 (5y) | ||
| Lupton Thomson Haigler | Registered representative | Jul 2021 (5y) | ||
| Alexander Faris Giles | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Philip George Blumel | Registered representative | CFP | Jul 2021 (5y) | |
| Michael Mc Carron | Registered representative | Aug 2021 (5y) | ||
| Andrew Michael Ciappa | Registered representative | Aug 2021 (5y) | ||
| Richard Andrew Link | Registered representative | Aug 2021 (5y) | ||
| Sean Michael Link | Registered representative | Aug 2021 (5y) | ||
| Theresa Anne Stevens | Registered representative | Aug 2021 (5y) | ||
| Wendy Ann Johnson | Registered representative | Aug 2021 (5y) | ||
| Alfred Robert Cordell | Registered representative | Aug 2021 (5y) | ||
| Michael Jason Miller | Registered representative | Sep 2021 (5y) | ||
| Gary Edward Mc Govern | Registered representative | Sep 2021 (5y) | ||
| Michael Stephen Tetteris | Registered representative | Sep 2021 (5y) | ||
| Evan Footer | Registered representative | CFP | Sep 2021 (5y) | |
| Brian Halter | Registered representative | Sep 2021 (5y) | ||
| Joshua David Hogan | Registered representative | Sep 2021 (5y) | ||
| Kate Spradlin Failla | Registered representative | CFP | Sep 2021 (5y) | |
| Tammy Ratliff Spradlin | Registered representative | Sep 2021 (5y) | ||
| Thomas Cohen | Registered representative | Oct 2021 (5y) | ||
| Marjo Annika Ylipelkonen | Registered representative | CFP | Oct 2021 (5y) | |
| Anas Shraim | Registered representative | Nov 2021 (5y) | ||
| William John Ryan | Registered representative | Nov 2021 (5y) | ||
| Adam Bruce Butler | Registered representative | Nov 2021 (5y) | ||
| Victoria Terralea Lepore | Registered representative | Nov 2021 (5y) | ||
| Sandra Lee Harper | Registered representative | Dec 2021 (5y) | ||
| Alexander James Pucilowski | Registered representative | Dec 2021 (5y) | ||
| Kelly L Forrester | Registered representative | Dec 2021 (5y) | ||
| Raymond V Lamorgese | Registered representative | Jan 2022 (5y) | ||
| Laura Snyder | Registered representative | Jan 2022 (5y) | ||
| Andrew Morgan | Registered representative | Jan 2022 (5y) | ||
| Landon J Weeks | Registered representative | Jan 2022 (5y) | ||
| Steven Archie Napier | Registered representative | Jan 2022 (5y) | ||
| Melanie F Kelsall | Registered representative | Jan 2022 (5y) | ||
| Kevin Munoz | Registered representative | Feb 2022 (4y) | ||
| Daniel Wallentin | Registered representative | Feb 2022 (4y) | ||
| Lindsay Kramer Chandler | Registered representative | Feb 2022 (4y) | ||
| Ronald Gerald Raines | Registered representative | CFP | Feb 2022 (4y) | |
| Liz Arza | Registered representative | Feb 2022 (4y) | ||
| Michael Corey Carson | Registered representative | Feb 2022 (4y) | ||
| Ellie Bockstie | Registered representative | CFP | Mar 2022 (4y) | |
| Chase J Harkness | Registered representative | CFP | Mar 2022 (4y) | |
| Massimo A Romano | Registered representative | Mar 2022 (4y) | ||
| David Christian Luke | Registered representative | CFP | Mar 2022 (4y) | |
| Erin Margaret Carpenter | Registered representative | Mar 2022 (4y) | ||
| Jennifer Ghingher Snouffer | Registered representative | Mar 2022 (4y) | ||
| Joseph Elroy Snouffer | Registered representative | CFP | Mar 2022 (4y) | |
| Michele Mcallister Peele | Registered representative | Mar 2022 (4y) | ||
| Manly Koji Church | Registered representative | Mar 2022 (4y) | ||
| Glenn Albert Hamler | Registered representative | Mar 2022 (4y) | ||
| Thomas Joseph Urban | Registered representative | Mar 2022 (4y) | ||
| Christine Ann Taylor | Registered representative | Apr 2022 (4y) | ||
| John Robert Morris | Registered representative | Apr 2022 (4y) | ||
| Matthew Jerkovich | Registered representative | Apr 2022 (4y) | ||
| Matthew David O'brien | Registered representative | Apr 2022 (4y) | ||
| Philip Michael Stacks | Registered representative | Apr 2022 (4y) | ||
| Amanda S. West | Registered representative | CFP | Apr 2022 (4y) | |
| Melissa Hall Mitchell | Registered representative | Apr 2022 (4y) | ||
| Brandon Santillo | Registered representative | Apr 2022 (4y) | ||
| Brent William Croonquist | Registered representative | May 2022 (4y) | ||
| Emilee Mahon | Registered representative | May 2022 (4y) | ||
| Ryan Bradley Stellmann | Registered representative | May 2022 (4y) | ||
| Justin Andrew Staub | Registered representative | May 2022 (4y) | ||
| Elizabeth A. Hanley | Registered representative | Jun 2022 (4y) | ||
| Stephanie L Wiseman | Registered representative | Jun 2022 (4y) | ||
| Christopher William Clavin | Registered representative | Jun 2022 (4y) | ||
| Scott Jay Kaminsky | Registered representative | CFP | Jun 2022 (4y) | |
| Devin Paul Velnoskey | Registered representative | CFP | Jun 2022 (4y) | |
| Christin Howell Neese | Registered representative | Jun 2022 (4y) | ||
| Kwesi N Kittoe | Registered representative | Jun 2022 (4y) | ||
| Bruce Benjamin Milstein | Registered representative | CFP Chartered Financial Consultant | Jul 2022 (4y) | |
| Laura Ann Tsiguloff | Registered representative | Jul 2022 (4y) | ||
| Michael Cole Owen | Registered representative | Jul 2022 (4y) | ||
| Corey M Cahill | Registered representative | CFP | Jul 2022 (4y) | |
| John Vincent Iervolino | Registered representative | Jul 2022 (4y) | ||
| Scott Wodzenski | Registered representative | CFP | Jul 2022 (4y) | |
| Ryan Jeffrey Bates | Registered representative | Jul 2022 (4y) | ||
| Ann Elizabeth Newcamp | Registered representative | Aug 2022 (4y) | ||
| Michelle Conley Hegarty | Registered representative | Aug 2022 (4y) | ||
| Ronald Lee Shaw | Registered representative | Aug 2022 (4y) | ||
| Stephanie Louise Odell | Registered representative | Aug 2022 (4y) | ||
| John Fred Odell | Registered representative | Aug 2022 (4y) | ||
| James Arthur Bowman | Registered representative | Aug 2022 (4y) | ||
| Katherine Mckinney Schiefelbein | Registered representative | Aug 2022 (4y) | ||
| Lareesa Haynes | Registered representative | Aug 2022 (4y) | ||
| Jennifer Sangillo | Registered representative | Aug 2022 (4y) | ||
| Bradley Roger Kastan | Registered representative | Aug 2022 (4y) | ||
| Jake Thomas | Registered representative | CFP | Aug 2022 (4y) | |
| Brandon Zimerman | Registered representative | Sep 2022 (4y) | ||
| Helen Kathleen Shaw | Registered representative | Sep 2022 (4y) | ||
| Jose Daniel Giraldo | Registered representative | Sep 2022 (4y) | ||
| Temple Alan Waltemeyer | Registered representative | Sep 2022 (4y) | ||
| Patrick Allen King | Registered representative | Sep 2022 (4y) | ||
| Alyssa Poremski | Registered representative | Sep 2022 (4y) | ||
| Laura Jean Keelon | Registered representative | Sep 2022 (4y) | ||
| Lynne Marie Clancy | Registered representative | Sep 2022 (4y) | ||
| Sharon Cupp Krantz | Registered representative | CFP | Sep 2022 (4y) | |
| Brandon Levine | Registered representative | Oct 2022 (4y) | ||
| Gary George Vescio | Registered representative | Oct 2022 (4y) | ||
| Molly A Haga | Registered representative | Oct 2022 (4y) | ||
| Jordan Mellinger | Registered representative | Oct 2022 (4y) | ||
| Matthew Gerald Gambino | Registered representative | Oct 2022 (4y) | ||
| Daniel William Stephens | Registered representative | Oct 2022 (4y) | ||
| Haleigh Sue M Iller | Registered representative | Oct 2022 (4y) | ||
| Samuel Johnson | Registered representative | Oct 2022 (4y) | ||
| Nicole Rose Kramlick | Registered representative | Oct 2022 (4y) | ||
| David Joseph Matarese | Registered representative | CFP Personal Financial Specialist | Oct 2022 (4y) | |
| Michael W Stanley | Registered representative | Nov 2022 (4y) | ||
| John Michael O'connor | Registered representative | Nov 2022 (4y) | ||
| Daniel Robert Mantell | Registered representative | CFP | Nov 2022 (4y) | |
| Conor Staples | Registered representative | Nov 2022 (4y) | ||
| Daniel R Vaughn | Registered representative | Nov 2022 (4y) | ||
| John Elliott Riley | Registered representative | CFP | Dec 2022 (4y) | |
| Katie M Dunmire | Registered representative | Dec 2022 (4y) | ||
| Kathryn Mary Bunn | Registered representative | Dec 2022 (4y) | ||
| Robert Thomas Rose | Registered representative | Dec 2022 (4y) | ||
| Joseph William Waterloo | Registered representative | CFP | Dec 2022 (4y) | |
| John Albert Blumel | Registered representative | Dec 2022 (4y) | ||
| John Poindexter Irby | Registered representative | Dec 2022 (4y) | ||
| Todd Banister Garliss | Registered representative | Jan 2023 (4y) | ||
| Wesley Andrew Pritchett | Registered representative | Jan 2023 (4y) | ||
| O. Grayson Beringer | Registered representative | Jan 2023 (4y) | ||
| Bryn Thacker | Registered representative | Jan 2023 (4y) | ||
| James Belin Foley | Registered representative | Feb 2023 (3y) | ||
| Matthew Orlando Bash | Registered representative | Feb 2023 (3y) | ||
| Andrew Wesley Weaver | Registered representative | Feb 2023 (3y) | ||
| Reece Everett Maurer | Registered representative | Feb 2023 (3y) | ||
| Samuel E. Greenfield | Registered representative | Feb 2023 (3y) | ||
| Helen Stovall Bueno | Registered representative | Feb 2023 (3y) | ||
| Jihaad Abdullah Muhammad | Registered representative | Mar 2023 (3y) | ||
| Jeffrey Louis Bradanini | Registered representative | Mar 2023 (3y) | ||
| Samuel Reid Vigderhouse | Registered representative | Mar 2023 (3y) | ||
| Matthew A Trevethan | Registered representative | Mar 2023 (3y) | ||
| Renato Dominic Jamett | Registered representative | Mar 2023 (3y) | ||
| Renato T Jamett | Registered representative | Mar 2023 (3y) | ||
| Tom Laskaris | Registered representative | Mar 2023 (3y) | ||
| Joseph Michael Harton | Registered representative | Mar 2023 (3y) | ||
| Mark Randall Barrett | Registered representative | Mar 2023 (3y) | ||
| David H Harth | Registered representative | Mar 2023 (3y) | ||
| Jonathan M Swavely | Registered representative | CFP | Mar 2023 (3y) | |
| Jonathan Wilson Decker | Registered representative | Mar 2023 (3y) | ||
| Susan Lobello | Registered representative | Mar 2023 (3y) | ||
| John Mc Carthy | Registered representative | Apr 2023 (3y) | ||
| Tyler Hamilton | Registered representative | CFP | Apr 2023 (3y) | |
| Laura Nguyen | Registered representative | May 2023 (3y) | ||
| Christopher Paul Csencsits | Registered representative | CFP | May 2023 (3y) | |
| Jody Boyer | Registered representative | CFP | May 2023 (3y) | |
| William E. O Rielly | Registered representative | May 2023 (3y) | ||
| Ronald Joseph Parker | Registered representative | May 2023 (3y) | ||
| John Campbell Yackel | Registered representative | May 2023 (3y) | ||
| William Joseph Dynan | Registered representative | May 2023 (3y) | ||
| Cassandra Beres | Registered representative | May 2023 (3y) | ||
| James Neil Parsons | Registered representative | CFP | Jun 2023 (3y) | |
| Peter Andrew Mc Kenna | Registered representative | Jul 2023 (3y) | ||
| Salvatore R Bottone | Registered representative | CFP | Jul 2023 (3y) | |
| Nicholas Joseph Falcone | Registered representative | Jul 2023 (3y) | ||
| Jorge Andres Kuri | Registered representative | CFA | Aug 2023 (3y) | |
| Rebecca Elizabeth Durkin | Registered representative | Aug 2023 (3y) | ||
| Ove Asendorf | Registered representative | Aug 2023 (3y) | ||
| Louis Lo Grasso | Registered representative | Aug 2023 (3y) | ||
| Christopher Anthony Shaffer | Registered representative | CFP | Aug 2023 (3y) | |
| John Anthony Battista | Registered representative | CFP | Aug 2023 (3y) | |
| Trevor Mc Millan Vick | Registered representative | Aug 2023 (3y) | ||
| Michael George Abdalla | Registered representative | Sep 2023 (3y) | ||
| Michael S Gross | Registered representative | Sep 2023 (3y) | ||
| Stephen George Sykes | Registered representative | Sep 2023 (3y) | ||
| Tamara A Lee | Registered representative | Sep 2023 (3y) | ||
| Barbara Matthews | Registered representative | Sep 2023 (3y) | ||
| Emily Gail Pittman | Registered representative | Sep 2023 (3y) | ||
| John Gardner Best | Registered representative | CFP | Sep 2023 (3y) | |
| Jay Day | Registered representative | Sep 2023 (3y) | ||
| Jeff Anthony Russo | Registered representative | Sep 2023 (3y) | ||
| John Thomas Fetherston | Registered representative | Sep 2023 (3y) | ||
| Pramvera Ruiz | Registered representative | Sep 2023 (3y) | ||
| Avari Schmader | Registered representative | CFP | Sep 2023 (3y) | |
| Clark Austin Lemaster | Registered representative | CFP | Sep 2023 (3y) | |
| Haden Thurston Dudley | Registered representative | CFP | Sep 2023 (3y) | |
| Brian Michael Tammaro | Registered representative | Sep 2023 (3y) | ||
| Luke Hoffman | Registered representative | Sep 2023 (3y) | ||
| Candice Lin Waxler | Registered representative | Oct 2023 (3y) | ||
| Adam Christopher Dunham | Registered representative | Oct 2023 (3y) | ||
| Susan Lynne Scandone | Registered representative | Oct 2023 (3y) | ||
| William Matthew Lawlor | Registered representative | Oct 2023 (3y) | ||
| Connor Joseph Webb | Registered representative | CFP | Oct 2023 (3y) | |
| Laurence Seiden | Registered representative | CFP Chartered Financial Consultant | Nov 2023 (3y) | |
| Nicholas Charles Creekmore | Registered representative | Nov 2023 (3y) | ||
| Tyler Adam James Weisgarber | Registered representative | Nov 2023 (3y) | ||
| Noam Zilberstein | Registered representative | Dec 2023 (3y) | ||
| Haley Anne Culp | Registered representative | Dec 2023 (3y) | ||
| Michael A Brown | Registered representative | CFA | Dec 2023 (3y) | |
| Mark Allen Stull | Registered representative | Dec 2023 (3y) | ||
| Douglass F Ergood, Jr | Registered representative | Jan 2024 (3y) | ||
| Jordan Grace Higgins | Registered representative | CFP | Jan 2024 (3y) | |
| Daniel Gleyze | Registered representative | Jan 2024 (3y) | ||
| Danielle Carini | Registered representative | Jan 2024 (3y) | ||
| Elijah Peck | Registered representative | Jan 2024 (3y) | ||
| Loretta S Beardeaux Proulx | Registered representative | Jan 2024 (3y) | ||
| Tammy Renee Ashworth | Registered representative | Feb 2024 (2y) | ||
| Dino Joseph Johnson | Registered representative | Feb 2024 (2y) | ||
| Kathleen Marie Mc Kenna | Registered representative | CFP | Feb 2024 (2y) | |
| Mark Johnson | Registered representative | Feb 2024 (2y) | ||
| Mark Santaniello | Registered representative | Feb 2024 (2y) | ||
| Nathan Abbe | Registered representative | Feb 2024 (2y) | ||
| Thomas Michael Galvin | Registered representative | Feb 2024 (2y) | ||
| John R. Rinaldi | Registered representative | Mar 2024 (2y) | ||
| Matthew Christopher Robinson | Registered representative | Mar 2024 (2y) | ||
| Jack Ryan Mahoney | Registered representative | Mar 2024 (2y) | ||
| Kevin Massey | Registered representative | Mar 2024 (2y) | ||
| Nicholas Robert Borkowski | Registered representative | Apr 2024 (2y) | ||
| Amy L Gibson | Registered representative | Apr 2024 (2y) | ||
| Michael S Koppenhaver | Registered representative | Apr 2024 (2y) | ||
| Susan R Damask | Registered representative | CFP | Apr 2024 (2y) | |
| Matthew Conway | Registered representative | Apr 2024 (2y) | ||
| Jon Vincent Hoover | Registered representative | Apr 2024 (2y) | ||
| Martha W. Busser | Registered representative | Apr 2024 (2y) | ||
| Nancy Guadalupe Cuellar | Registered representative | Apr 2024 (2y) | ||
| Jamie Halbig | Registered representative | Apr 2024 (2y) | ||
| William Travis Mccollum | Registered representative | CFP | Apr 2024 (2y) | |
| Conner Edmundson Pugh | Registered representative | Apr 2024 (2y) | ||
| Rachel Irene Montgomery | Registered representative | Apr 2024 (2y) | ||
| James Drury Greaves Egan | Registered representative | May 2024 (2y) | ||
| Andrew David O'neill | Registered representative | CFP | May 2024 (2y) | |
| Denise Cotrina Brathwaite | Registered representative | May 2024 (2y) | ||
| Regina Kline Colburn | Registered representative | May 2024 (2y) | ||
| Michael Paul Dargusch | Registered representative | May 2024 (2y) | ||
| Kelsey Brimmer Getchell | Registered representative | May 2024 (2y) | ||
| Rodger Edmund Goldman | Registered representative | May 2024 (2y) | ||
| Steffy Kaiser | Registered representative | May 2024 (2y) | ||
| Edmund Chen | Registered representative | May 2024 (2y) | ||
| Paul R Doupe | Registered representative | Jun 2024 (2y) | ||
| David Blankenship | Registered representative | Jun 2024 (2y) | ||
| James Joseph Mc Kenna | Registered representative | Jun 2024 (2y) | ||
| Garrett Matthew Mac Donald | Registered representative | Jun 2024 (2y) | ||
| Crystal Lauren Dubowski | Registered representative | Jun 2024 (2y) | ||
| Kathryn A Genovese | Registered representative | Jun 2024 (2y) | ||
| Patrick Thomas Gilligan | Registered representative | Jun 2024 (2y) | ||
| Andrew Westcott Lee | Registered representative | Jun 2024 (2y) | ||
| Joshua David Loud | Registered representative | Jun 2024 (2y) | ||
| Karolina Vlckova Dunn | Registered representative | Jul 2024 (2y) | ||
| Jackson M Klingenberg | Registered representative | Jul 2024 (2y) | ||
| James Patrick Horgan | Registered representative | Jul 2024 (2y) | ||
| Raymond Daniel Calvano | Registered representative | Aug 2024 (2y) | ||
| James Robert Laurenzi | Registered representative | Aug 2024 (2y) | ||
| Samuel Noah Silverberg | Registered representative | CFA | Aug 2024 (2y) | |
| Randolph Kent Liggitt | Registered representative | Aug 2024 (2y) | ||
| Mohaun A Kugaraj | Registered representative | Aug 2024 (2y) | ||
| Ronald Vance Arthur | Registered representative | Aug 2024 (2y) | ||
| Rose Daphney Domine | Registered representative | Aug 2024 (2y) | ||
| Candace Jevonne Flowers | Registered representative | Aug 2024 (2y) | ||
| Lindsay Truluck Walker | Registered representative | CFP | Sep 2024 (2y) | |
| James Bernard | Registered representative | Sep 2024 (2y) | ||
| Mark C Enright | Registered representative | Sep 2024 (2y) | ||
| Adam Michael Bouley | Registered representative | Sep 2024 (2y) | ||
| Cristina Waingart Gerrald | Registered representative | Oct 2024 (2y) | ||
| Eldon Clarke Williams | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Joseph Fine | Registered representative | Oct 2024 (2y) | ||
| Colton Losh Jones | Registered representative | Oct 2024 (2y) | ||
| Deborah Kay Williams | Registered representative | Oct 2024 (2y) | ||
| Gregory Ervin Kibler | Registered representative | CFP Chartered Financial Consultant | Oct 2024 (2y) | |
| Jeremy Nathan Swank | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Brent Alan Markley | Registered representative | Oct 2024 (2y) | ||
| Edward Thomas Kennedy | Registered representative | Oct 2024 (2y) | ||
| Grant Thomas Beckley | Registered representative | Oct 2024 (2y) | ||
| James Matthew Hager | Registered representative | Nov 2024 (2y) | ||
| Matthew R. Hager | Registered representative | Nov 2024 (2y) | ||
| Mikelle B Copella | Registered representative | Nov 2024 (2y) | ||
| Elizabeth Ann Ferraro | Registered representative | CFP | Nov 2024 (2y) | |
| Paul Edwin Butler | Registered representative | Nov 2024 (2y) | ||
| David Steven Dennerll | Registered representative | CFP | Nov 2024 (2y) | |
| Joseph Angelo Pardi | Registered representative | Nov 2024 (2y) | ||
| Deidre T. Caldwell | Registered representative | Nov 2024 (2y) | ||
| Lars W Halverson | Registered representative | Nov 2024 (2y) | ||
| Robert Edward Flannigan | Registered representative | Nov 2024 (2y) | ||
| Robert Louis Stiles | Registered representative | Nov 2024 (2y) | ||
| James Murray Elliott | Registered representative | Nov 2024 (2y) | ||
| John Robert Mc Ketta | Registered representative | Jan 2025 (2y) | ||
| John Francis Demichael | Registered representative | Jan 2025 (2y) | ||
| Dominic Triglia | Registered representative | Jan 2025 (2y) | ||
| Andrew Charles Carnevale | Registered representative | Jan 2025 (2y) | ||
| Phillip Hamilton Hobbs | Registered representative | Jan 2025 (2y) | ||
| Eliot Latchaw | Registered representative | Feb 2025 (2y) | ||
| Juan Sturla | Registered representative | Feb 2025 (1y) | ||
| Andrew J Milto | Registered representative | Feb 2025 (1y) | ||
| Kathryn Clearwater | Registered representative | Feb 2025 (1y) | ||
| Madeleine Alexandrine Rose | Registered representative | CFP | Feb 2025 (1y) | |
| Maeve L Tobin | Registered representative | Feb 2025 (1y) | ||
| Denise Lynne Devine | Registered representative | Feb 2025 (1y) | ||
| Samantha Elizabeth Redding | Registered representative | Feb 2025 (1y) | ||
| Chad Herbert Berry | Registered representative | Feb 2025 (1y) | ||
| Ivaylo K Iliev | Registered representative | Mar 2025 (1y) | ||
| Charles Randall Faires | Registered representative | Mar 2025 (1y) | ||
| Glen Anthony Duggan | Registered representative | CFP | Mar 2025 (1y) | |
| Benjamin Ziolkowski | Registered representative | Mar 2025 (1y) | ||
| Jessica Renee Ventura | Registered representative | Mar 2025 (1y) | ||
| Justin M Porrett | Registered representative | Mar 2025 (1y) | ||
| Jeffrey William Reichner | Registered representative | Mar 2025 (1y) | ||
| Matthew Ian Clark | Registered representative | Mar 2025 (1y) | ||
| James David Conrod | Registered representative | CFP | Mar 2025 (1y) | |
| Gordon Lynn Mattocks | Registered representative | Apr 2025 (1y) | ||
| Tracey Alan Binkley | Registered representative | CFP | Apr 2025 (1y) | |
| Mahim Muntasir Siddiqui | Registered representative | Apr 2025 (1y) | ||
| Francis Nockley | Registered representative | Apr 2025 (1y) | ||
| Anthony J. Stefani | Registered representative | Apr 2025 (1y) | ||
| Alex Rocco Szczepanski | Registered representative | May 2025 (1y) | ||
| Raymond Sardina | Registered representative | May 2025 (1y) | ||
| Suzanne Gail Rutrough | Registered representative | May 2025 (1y) | ||
| William Lawrence Mock | Registered representative | May 2025 (1y) | ||
| Hope Waller Hoke | Registered representative | May 2025 (1y) | ||
| Allan Scott Lynn | Registered representative | May 2025 (1y) | ||
| Mark Lee Strange | Registered representative | May 2025 (1y) | ||
| Brian Kelly | Registered representative | May 2025 (1y) | ||
| Domenic Paul Biamonte | Registered representative | May 2025 (1y) | ||
| Shawna D Norris | Registered representative | May 2025 (1y) | ||
| Amanda Medrow Myers | Registered representative | CFP | May 2025 (1y) | |
| Stephen Shaw | Registered representative | May 2025 (1y) | ||
| Robert Rosema | Registered representative | May 2025 (1y) | ||
| Casey O'toole | Registered representative | May 2025 (1y) | ||
| Eric Kimmell | Registered representative | Jun 2025 (1y) | ||
| Kristin A Healy | Registered representative | Jun 2025 (1y) | ||
| Sydney Robinson | Registered representative | Jun 2025 (1y) | ||
| Paul Anthony Orbon | Registered representative | Jun 2025 (1y) | ||
| Austin William Drake | Registered representative | Jun 2025 (1y) | ||
| Daniel Patrick Clark | Registered representative | Jun 2025 (1y) | ||
| James Clement Clark | Registered representative | Jun 2025 (1y) | ||
| Regina M Kelly | Registered representative | Jun 2025 (1y) | ||
| Daniel Francis Hogan | Registered representative | Jul 2025 (1y) | ||
| Elizabeth Gaines Mitchell | Registered representative | Jul 2025 (1y) | ||
| Kali M Lambert | Registered representative | Jul 2025 (1y) | ||
| Kevin Patrick Doyle | Registered representative | Jul 2025 (1y) | ||
| Connor Elliott De Graff | Registered representative | Jul 2025 (1y) | ||
| Kurt Uzbay | Registered representative | Jul 2025 (1y) | ||
| Maximilian Margiotta | Registered representative | Jul 2025 (1y) | ||
| Amanda Berger Burdick | Registered representative | Aug 2025 (1y) | ||
| George B Harris | Registered representative | Aug 2025 (1y) | ||
| Todd Buonocore | Registered representative | Aug 2025 (1y) | ||
| Matthew Joseph Rayner | Registered representative | Aug 2025 (1y) | ||
| John William Rader | Registered representative | Sep 2025 (1y) | ||
| William Judson Hendrickson | Registered representative | Sep 2025 (1y) | ||
| Braeden True | Registered representative | CFP | Sep 2025 (1y) | |
| Myles Vincent Oliver | Registered representative | Sep 2025 (1y) | ||
| Nicole P Kruman | Registered representative | Sep 2025 (1y) | ||
| Justin Charles Wermuth | Registered representative | Sep 2025 (1y) | ||
| Erinn Montanti | Registered representative | Sep 2025 (1y) | ||
| Aaron James Crist | Registered representative | CFP | Sep 2025 (1y) | |
| Michaela Erin Frantz | Registered representative | Sep 2025 (1y) | ||
| Brock David Cheurco | Registered representative | Oct 2025 (1y) | ||
| Brandon M Costantino | Registered representative | Oct 2025 (1y) | ||
| Trent Tipton | Registered representative | Oct 2025 (1y) | ||
| Justin Calendrillo | Registered representative | Oct 2025 (1y) | ||
| Bruce Eric Lord | Registered representative | Oct 2025 (1y) | ||
| John J Kirstien | Registered representative | Oct 2025 (1y) | ||
| Allen Jeffrey Belice | Registered representative | Oct 2025 (1y) | ||
| Kaitlyn Mae Leininger | Registered representative | CFP | Oct 2025 (1y) | |
| April Grace Pearson | Registered representative | Oct 2025 (1y) | ||
| Patricia Ellen Selin | Registered representative | CFP | Oct 2025 (1y) | |
| Michael Neumann Corr | Registered representative | Oct 2025 (1y) | ||
| Ana Ludemann | Registered representative | Oct 2025 (1y) | ||
| Craig Moss | Registered representative | Oct 2025 (1y) | ||
| Cintra V. Bedassie | Registered representative | Oct 2025 (1y) | ||
| Alan Jay Bogatch | Registered representative | CFP | Nov 2025 (1y) | |
| Marney Jones Heath | Registered representative | Nov 2025 (1y) | ||
| Charles Leroy Wisner | Registered representative | Nov 2025 (1y) | ||
| Randi Walker | Registered representative | CFP | Nov 2025 (1y) | |
| Christopher Edward Gardner | Registered representative | Nov 2025 (1y) | ||
| Lauren Michelle Johnson Housh | Registered representative | Nov 2025 (1y) | ||
| James Kevin Winkler | Registered representative | Nov 2025 (1y) | ||
| Elisa Marie Murray | Registered representative | Nov 2025 (1y) | ||
| Kiarra Rhiannon Marshall | Registered representative | Nov 2025 (1y) | ||
| Michael Edward Kinkel | Registered representative | Nov 2025 (1y) | ||
| Candace Lynn Kyer | Registered representative | Nov 2025 (1y) | ||
| Garret Matthew Ferrara | Registered representative | Nov 2025 (1y) | ||
| Mei Chen Goodson | Registered representative | Nov 2025 (1y) | ||
| Michael Robert Burrows | Registered representative | Nov 2025 (1y) | ||
| Michele Antoinette Ferrara | Registered representative | Nov 2025 (1y) | ||
| Nicholas T Jembelis | Registered representative | Nov 2025 (1y) | ||
| Lauren Ashley Kobel | Registered representative | Nov 2025 (1y) | ||
| Gabriel Mark Bowman | Registered representative | Nov 2025 (1y) | ||
| Kiana Hunter | Registered representative | Nov 2025 (1y) | ||
| Jason Wayne Thompson | Registered representative | Nov 2025 (1y) | ||
| Sabrina Chierchio | Registered representative | Dec 2025 (1y) | ||
| David Paul Lojpersberger | Registered representative | Dec 2025 (1y) | ||
| Albert Francis Grenert | Registered representative | Dec 2025 (1y) | ||
| Michael Robert Smith | Registered representative | CFP | Dec 2025 (1y) | |
| Tonya Lynn Mcmahon | Registered representative | Dec 2025 (1y) | ||
| Matthew Luke | Registered representative | Dec 2025 (1y) | ||
| Joshua Harris Eskin | Registered representative | CFP | Dec 2025 (1y) | |
| Troy Gerard Russillo | Registered representative | CFP | Dec 2025 (1y) | |
| John Derek Eason | Registered representative | Jan 2026 (1y) | ||
| Daniel Alexander Schmitz | Registered representative | Jan 2026 (1y) | ||
| Cole Russell Fiore | Registered representative | Jan 2026 (1y) | ||
| Andrea Rosenberg | Registered representative | Jan 2026 (1y) | ||
| Frank Joseph Subasic | Registered representative | Jan 2026 (1y) | ||
| Lisa Michelle Phillips | Registered representative | Jan 2026 (1y) | ||
| Jackson Lee Allen | Registered representative | CFP | Jan 2026 (1y) | |
| Robert Dunkley | Registered representative | Jan 2026 (1y) | ||
| Samuel E Kuzu | Registered representative | Jan 2026 (1y) | ||
| Margaret Mary Wright | Registered representative | Feb 2026 (0y) | ||
| Daniel Paul Verbic | Registered representative | Feb 2026 (0y) | ||
| Hugh Holman Hoke | Registered representative | Feb 2026 (0y) | ||
| Lauren Nicole Coalson | Registered representative | Feb 2026 (0y) | ||
| Nolan Chad Dalson | Registered representative | Feb 2026 (0y) | ||
| Rayona Bowens | Registered representative | Feb 2026 (0y) | ||
| Christopher Steven Fantano | Registered representative | Feb 2026 (0y) | ||
| Peni Sue Warren | Registered representative | Feb 2026 (0y) | ||
| Crystal W Van Lenten | Registered representative | Feb 2026 (0y) | ||
| James E Barber | Registered representative | Feb 2026 (0y) | ||
| Julianne Cadden | Registered representative | Mar 2026 (0y) | ||
| Scott Kristofer Patterson | Registered representative | Mar 2026 (0y) | ||
| Raymond Rocco Regalbuto | Registered representative | Mar 2026 (0y) | ||
| Jean Elizabeth Phelps | Registered representative | Mar 2026 (0y) | ||
| Noel A Becker | Registered representative | Mar 2026 (0y) | ||
| Whitney Ehret | Registered representative | Mar 2026 (0y) | ||
| Meghan Elizabeth Gibney | Registered representative | CFP | Mar 2026 (0y) | |
| Desmond Djekovic | Registered representative | Mar 2026 (0y) | ||
| Fortune Stephen Macri | Registered representative | Mar 2026 (0y) | ||
| Jared Evan Katzman | Registered representative | Mar 2026 (0y) | ||
| Kenneth Joseph Morris | Registered representative | CFP | Mar 2026 (0y) | |
| Marc Vilsmark Smith | Registered representative | Mar 2026 (0y) | ||
| Steve G Condos | Registered representative | Mar 2026 (0y) | ||
| Joseph Peter Vilsack | Registered representative | Mar 2026 (0y) | ||
| Jon Richard Foy | Registered representative | Mar 2026 (0y) | ||
| Nina Shante Sirene | Registered representative | Mar 2026 (0y) | ||
| Thomas Andrew Oberg | Registered representative | Mar 2026 (0y) | ||
| Logan John Jagodzinski | Registered representative | Mar 2026 (0y) | ||
| Gregory J. Manara | Registered representative | CFP | Mar 2026 (0y) | |
| Gina Maurica Kletter | Registered representative | Mar 2026 (0y) | ||
| Michael Harold Mrotzek | Registered representative | CFP | Mar 2026 (0y) | |
| Anna Kappler Banks | Registered representative | Mar 2026 (0y) | ||
| Robert Meyers | Registered representative | Apr 2026 (0y) | ||
| Theodore Joseph Haggerty | Registered representative | Apr 2026 (0y) | ||
| Andrew Condon | Registered representative | Apr 2026 (0y) | ||
| Brandon Michael Lacroix | Registered representative | CFP | Apr 2026 (0y) | |
| Gatis Zigats | Registered representative | Apr 2026 (0y) | ||
| Edwin Brooks May | Registered representative | Apr 2026 (0y) | ||
| Adam David Runk | Registered representative | CFA | Apr 2026 (0y) | |
| Gizem Folk | Registered representative | Apr 2026 (0y) | ||
| Kristin Bernard | Registered representative | Apr 2026 (0y) | ||
| Victor Argentina | Registered representative | Apr 2026 (0y) | ||
| Brianna Norvell | Registered representative | Apr 2026 (0y) | ||
| Connor A Alcarese | Registered representative | Apr 2026 (0y) | ||
| David Edward Whiting | Registered representative | Apr 2026 (0y) | ||
| Maxwell A Uribe | Registered representative | Apr 2026 (0y) | ||
| Andrew Jay Shaffer | Registered representative | Apr 2026 (0y) | ||
| Benjamin Richard Bannon | Registered representative | May 2026 (0y) | ||
| Victoria Anglace | Registered representative | May 2026 (0y) | ||
| Katherine Gail Loheyde | Registered representative | May 2026 (0y) | ||
| Shane Patrick Kelly | Registered representative | May 2026 (0y) | ||
| Alexander Jervis Vitek | Registered representative | May 2026 (0y) | ||
| Robin L Christman | Registered representative | May 2026 (0y) | ||
| George Tyler Michael | Registered representative | May 2026 (0y) | ||
| Matthew Kupreanik | Registered representative | May 2026 (0y) | ||
| Julia Anne Soranno | Registered representative | May 2026 (0y) | ||
| Lauren Elizabeth Mossburg | Registered representative | CFP | Jun 2026 (0y) | |
| Alyssa Elena Carrera | Registered representative | Jun 2026 (0y) | ||
| Guy Alan Jardine | Registered representative | Jun 2026 (0y) | ||
| Justin Harlow | Registered representative | Jun 2026 (0y) | ||
| Ian Patrick Mc Laughlin | Registered representative | CFP | Jun 2026 (0y) | |
| Mikayla Lewis | Registered representative | Jun 2026 (0y) | ||
| Leigh Ann Chapman | Registered representative | Jun 2026 (0y) | ||
| Marilou Rufina Celina Poupon | Registered representative | Jul 2026 (0y) | ||
| James Clayton Flaherty | Registered representative | Jul 2026 (0y) | ||
| Kirk J Stensrud | Registered representative | CFP | Jul 2026 (0y) | |
| Yale Joseph | Registered representative | Jul 2026 (0y) | ||
| Kenneth Stuart Mintz | Registered representative | Jul 2026 (0y) | ||
| Keith David Ginsburg | Registered representative | CFP | Jul 2026 (0y) | |
| Karla M Avecillas | Registered representative | Jul 2026 (0y) | ||
| Gregory Eugene Marco | Registered representative | Jul 2026 (0y) | ||
| Joseph Lafreniere | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Penn Mutual Life Insurance Company | Shareholder | Aug 2023 | A | 75% or more |
| The Penn Insurance And Annuity Company | Shareholder | Aug 2023 | B | ≈ 56.25% – 100% via The Penn Mutual Life Insurance Company |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- The Penn Insurance And Annuity Company: 75% – 100% of The Penn Mutual Life Insurance Company × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (66)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Local No. 863 Pension Plan | Local No. 863 Pension Plan | 7 | $366M | 09/01/2024 |
| Wwec Local 863 Pension Plan | Wwec Local 863 Pension Plan | 740 | $202M | 09/01/2024 |
| Cdi Services, Inc. 401(k) Retirement Savings Plan | Cdi Services, Inc. | 294 | $14.9M | 01/01/2024 |
| B & F Machine Co Inc 401(k) Profit Sharing Plan | B & F Machine Co Inc | 228 | $20.6M | 01/01/2024 |
| Agustawestland Philadelphia Corporation 401(k) Savings Plan | Agustawestland Philadelphia Corp | 894 | $116M | 01/01/2024 |
| Ecs Federal, Llc 401(k) Plan | Ecs Federal, Llc | 3,774 | $369M | 01/01/2024 |
| Capital Area Pediatrics, Inc. Profit Sharing Plan | Capital Area Pediatrics, Inc. | 177 | $39.3M | 01/01/2024 |
| The Surgical Clinic 401(k) Profit Sharing Plan | The Surgical Clinic, Pllc | 191 | $59.8M | 01/01/2024 |
| Davis Defense Group, Inc. 401(k) | Davis Defense Group, Inc. | 280 | $20.7M | 01/01/2024 |
| Eco Energy, Llc 401(k) Profit Sharing Plan And Trust | Eco Energy, Llc | 239 | $19.5M | 01/01/2024 |
| The Wenger Group Profit Sharing Plan | The Wenger Group, Inc. | 915 | $68.0M | 01/01/2024 |
| Lab Logistics, Llc 401(k) Retirement Plan | Lab Logistics, Llc | 1,237 | $21.0M | 01/01/2024 |
| Leonardo Electronics Us Inc. 401(k) Plan | Leonardo Electronics Us Inc. | 244 | $49.9M | 01/01/2024 |
| Local 863 Ibt Retirement Savings Plan | Board Of Trustees, Ibt Local 863 | 2,764 | $94.6M | 01/01/2024 |
| Brookdale Senior Living Inc. 401(k) Retirement Savings Plan | Brookdale Senior Living Inc. | 34,384 | $466M | 01/01/2024 |
| Shore Medical Center 401(k) Savings And Retirement Plan | Shore Memorial Hospital Dba Shore Medical Center | 1,310 | $57.9M | 01/01/2024 |
| Tennessee Orthopaedic Alliance 401(k) & Profit Sharing Plan | Tennessee Orthopaedic Alliance, P.A. | 1,407 | $237M | 01/01/2024 |
| Halocarbon 401(k) Plan | Hpc Holdings, Inc. | 151 | $27.6M | 01/01/2024 |
| Hampshire Fire Protection Co. 401(k) Profit Sharing Plan | Hampshire Fire Protection Co., Llc | 194 | $12.0M | 01/01/2024 |
| Tbhc Delivers, Llc Retirement Plan | Tbhc Delivers, Llc | 246 | $15.3M | 01/01/2024 |
| Rad Source Technologies, Inc. 401 K Plan | Rad Source Technologies, Inc. | 157 | $8.1M | 01/01/2024 |
| Shore Medical Center 403(b) Plan | Shore Memorial Hospital Dba Shore Medical Center | 252 | $41.8M | 01/01/2024 |
| Self Esteem Brands, Llc 401(k) Plan | Self Esteem Brands, Llc | 469 | $39.8M | 01/01/2024 |
| Community Bank 401 K Profit Sharing Plan | Community Bank | 147 | $17.9M | 01/01/2024 |
| Armada Hoffler 401(k) Retirement Plan | Ahp Holding, Inc. | 146 | $34.5M | 01/01/2024 |
Top 25 of 66 plans by assets.
From Form 5500 service-provider disclosures.
Foundations & charities (1)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Cambridge Charitable Foundation | Public charity | $51.9M | 12/31/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/30/2026 | 5.21 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE NYSE ALLEGED THAT JANNEY (1) ENGAGED IN AWAY-FROM-MARKET STOCK LOAN TRANSACTIONS; (2) COMPENSATED ALLEGED FINDERS IN CONNECTION WITH STOCK LOAN TRANSACTIONS WHEN THOSE FINDERS HAD PURPORTEDLY NOT PERFORMED ANY SERVICES IN CONNECTION WITH THOSE TRANSACTIONS; (3) FAILED TO REASONABLY SUPERVISE OR CONTROL CERTAIN OF ITS BUSINESS ACTIVITIES; (4) FAILED TO PROVIDE FOR APPROPRIATE PROCEDURES OF SUPERVISION AND CONTROL AND ESTABLISH A SEPARATE SYSTEM OF FOLLOW-UP AND REVIEW TO DETERMINE THAT DELEGATED AUTHORITY AND RESPONSIBILITY WAS BEING PROPERLY EXERCISED; AND (5) FAILED TO MAKE AND KEEP ACCURATE RECORDS REFLECTING ITS STOCK LOAN ACTIVITIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING GUILT, THE FIRM CONSENTED TO (1) A CENSURE; (2) A FINE IN THE AMOUNT OF $2,500,000; AND (3) AN UNDERTAKING TO REQUIRING THE FIRM TO CONTINUE TO RECORD THE TELEPHONE CONVERSATIONS OF ITS STOCK LOAN DEPARTMENT AND RETAIN THE RECORDINGS FOR A PERIOD OF NO LESS THAN ONE YEAR. Summary: IN RESOLVING THIS MATTER, THE NYSE CONSIDERED (1) THAT THE FIRM IMMEDIATELY AND VOLUNTARILY UNDERTOOK NUMEROUS REMEDIAL EFFORTS, (2) IMPLEMENTED REVISED AND ENHANCED WRITTEN SUPERVISORY PROCEDURES, (3) VOLUNTARILY COMMENCED RECORDING ALL TELEPHONE CONVERSATIONS IN THE STOCK LOAN DEPARTMENT, (4) THE FIRM'S COOPERATION WITH NYSE REGULATION AND (5) THAT NO CUSTOMER ACCOUNTS WERE AFFECTED BY THE ALLEGED IMPROPER ACTIVITIES IN THE STOCK LOAN DEPARTMENT.
Allegations: RESPONDENT JANNEY FAILED IN 2007 TO REPORT TO TRACE LARGE BLOCK TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION IN VIOLATION OF NASD RULES 2110 AND 6230(A) Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JANNEY CONSENTED TO A FINE OF $5,000,DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS.
Allegations: JANNEY ENTERED INTO AN AWC ARISING FROM ISSUES IDENTIFIED IN FINRA'S ROUTINE CYCLE EXAMINATIONS OF THE FIRM IN THE YEARS 2003 THROUGH 2005. THE VIOLATIONS SET FORTH IN THE AWC, WHICH JANNEY NEITHER ADMITTED NOR DENIED, INCLUDE 1) A FAILURE TO ADEQUATELY MONITOR AND SUPERVISE CERTAIN ELEMENTS OF COMPLIANCE WITH ITS AML PROGRAM AND 2) FAILURE TO ESTABLISH AND MAINTAIN CERTAIN ELEMENTS OF ITS BRANCH SUPERVISION PROGRAM RELATED TO REGISTERED REPRESENTATIVES AND OTHER ASSOCIATED PERSONS, INCLUDING FAILURE TO SUPERVISE CERTAIN ACTIVITIES OF BRANCH MANAGERS, FAILURE TO REVIEW BLOOMBERG EMAILS AND INSTANT MESSAGES OF SOME EMPLOYEES, FAILURE TO ESTABLISH PROCEDURES FOR APPROVAL AND SUPERVISION OF USE OF PERSONAL COMPUTERS, FAILURE TO DETERMINE THE NUMBER OF OUTSIDE ACCOUNTS MAINTAINED BY EMPLOYEES , IN 2003 A FAILURE TO DOCUMENT SUPERVISORY REVIEW OF TRADING IN OPTIONS ACCOUNTS, AND SEVERAL INSTANCES EACH YEAR OF FAILURE TO PRE-REVIEW AND APPROVE COMMUNICATIONS WITH THE PUBLIC. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM WAS CENSURED AND FINED $175,000, WITH $25,000 RELATED TO VIOLATIONS OF MSRB RULE G-41. JANNEY ALSO SUBMITTED A CORRECTIVE ACTION STATEMENT WHICH SETS FORTH THE ENHANCEMENTS MADE TO THE FIRM'S COMPLIANCE AND SUPERVISORY POLICIES AND PROCEDURES. THE ENHANCEMENTS INCLUDE IMPLEMENTING NEW PROCEDURES, CONTRACTING NEW VENDORS, AND ADOPTING NEW TECHNOLOGIES, AS WELL BOLSTERING SUPERVISORY EFFORTS IN CERTAIN AREAS. IN ADDITION, JANNEY PLACED A FIRM-WIDE EMPHASIS ON ITS AML PROGRAM, INCLUDING FIRM-WIDE AML TRAINING AND ENHANCED SURVEILLANCE TOOLS. JANNEY IS CONFIDENT THAT THESE MEASURES DEMONSTRATE ITS ONGOING COMMITMENT TO COMPLIANCE IN ALL AREAS OF ITS BUSINESS.
Allegations: BETWEEN JUNE 1, 2007 AND MAY 31, 2009, IT IS ALLEGED THAT JANNEY REPORTED 12,733 TRANSACTIONS ON OTC SECURITIES WHICH IT WAS NOT REQUIRED TO REPORT AND THAT THE FIRM'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS CONCERNING TRADE REPORTING. Status: Final Sanction Detail: $12,500.00 PAID BY CREDIT CARD ON 12/28/2011. Summary: THE FIRM HAS UPDATED ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO TRADE REPORTING TRANSACTIONS BY WAY OF A GIVE UP AGREEMENT.
Allegations: NASDAQ RULES 4755, 2110, AND 3010: DURING DECEMBER 2009 THE FIRM ENTERED 29 ORDERS TO THE NASDAQ MARKET THAT FAILED TO CORRECTLY INDICATE WHETHER THE ORDERS WERE A BUY, LONG SALE OR SHORT SALE. IN ADDITION THE FIRM'S WRITTEN SUPERVISORY PROCEDURES FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS WITH RESPECT TO THE RULES OF NASDAQ IN THE FOLLOWING SUBJECT AREAS: ACCURACY OF NASDAQ ORDER ENTRY INFORMATION; REFRAINING FROM LOCKING OR CROSSING AN EXISTING QUOTE ON NASDAQ; AND CLEARLY ERRONEOUS TRANSACTIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS THE FIRM CONSENTED TO A CENSURE, A FINE IN THE AMOUNT OF $10,000 AND AN UNDERTAKING TO REVISE ITS WSPS WITH RESPECT TO NASDAQ ORDER ENTRY INFORMATION, QUOTE SURVEILLANCE AND CLEARLY ERRONEOUS TRANSACTIONS. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, JANNEY ENTERED INTO AN AWC WITH NASDAQ CONSENTING TO A CENSURE AND FINE OF $10,000 FOR VIOLATIONS OF NASDAQ RULES 4755, 2110, AND 3010. THESE VIOLATIONS RELATING TO FINDINGS FROM THE FIRM'S JANUARY 2010 TRADING AND MARKET MAKING SURVEILLANCE ("TMMS") EXAMINATION. THE FIRM HAS UPDATED IT WRITTEN SUPERVISORY PROCEDURES TO ADDRESS THESE FINDINGS.
Allegations: FINRA RULE 2010, 6380A, 6182, 7450; NASD RULE 2111(A), 2320, 3010; SEC RULE 17A-3, 17A-4, 200(G), AND RULE 611(A)(1). IN THE THIRD QUARTER OF 2009 IN CERTAIN INSTANCES THE FIRM FAILED TO EXECUTE ORDERS FULLY AND PROMPTLY AND FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTERDEALER MARKET AVAILABLE. ADDITIONALLY IN DECEMBER 2009 IN CERTAIN INSTANCES THE FIRM INCORRECTLY MARKED ITS LEDGER AS LONG WHEN THE FIRMS POSITION WAS SHORT, FAILED TO MAINTAIN CUSTOMER CONFIRMATIONS, FAILED TO ACCURATELY DOCUMENT PROPRIETARY POSITIONS, FAILED TO SHOW CORRECT ORDER ENTRY AND FAILED TO PROVIDE ORDER MEMORANDA. THE FIRM ALSO INCORRECTLY REPORTED THE SECOND LEG OF CERTAIN RISKLESS PRINCIPAL TRANSACTIONS AND TRANSMITTED INACCURATE FORMATTED ORDERS TO OATS. THE FIRM EXECUTED SHORT SALE TRANSACTIONS AND FAILED TO APPEND A SHORT SALE MODIFIER TO TRF AND EXECUTED SHORT SALE ORDERS AND FAILED TO MARK THE ORDER AS SHORT. ADDITIONALLY THE FIRM'S WRITTEN SUPERVISORY PROCEDURES FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS WITH RESPECT TO THE RULES OF FINRA AND THE SEC IN THE FOLLOWING SUBJECT AREAS: ORDER HANDLING; BEST EXECUTION; ANTI-INTIMIDATION; TRADE REPORTING; SALE TRANSACTIONS; TRADE HALTS; ERRORS; SOFT DOLLAR ACCOUNTS; OATS; SUB-PENNY RULES; ELECTRONIC COMMUNICATION; TRADE THROUGHS OF PROTECTED QUOTATIONS IN NMS STOCKS; BACKING AWAY; AND INFORMATION BARRIERS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS THE FIRM CONSENTED TO A CENSURE, A FINE IN THE AMOUNT OF $55,000 AND AN UNDERTAKING TO REVISE ITS WSPS WITH RESPECT TO ORDER HANDLING; BEST EXECUTION; ANTI-INTIMIDATION; TRADE REPORTING; SALE TRANSACTIONS; TRADE HALTS; ERRORS; SOFT DOLLAR ACCOUNTS; OATS; SUB-PENNY RULES; ELECTRONIC COMMUNICATION; TRADE THROUGHS OF PROTECTED QUOTATIONS IN NMS STOCKS; BACKING AWAY; AND INFORMATION BARRIERS. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, JANNEY ENTERED INTO AN AWC CONSENTING TO A CENSURE AND FINE OF $55,000 RELATED TO NASD AND FINRA RULE VIOLATIONS STEMMING FROM A MARKET ORDER TIMELINESS("MOT") SWEEP FOR THE 3RD QUARTER OF 2009 AS WELL AS FINDINGS RELATED TO THE TRADING AND MARKET MAKING SURVEILLANCE ("TMMS") EXAMINATION OF THE FIRM IN JANUARY 2010. THE FIRM HAS UPDATED ITS WRITTEN SUPERVISORY PROCEDURES TO ADDRESS THESE FINDINGS.
Allegations: IN CONNECTION WITH A SETTLEMENT OF MATTERS ARISING OUT OF AN EXAMINATION FOR THE 2009-2010 PERIOD, FINRA ALLEGED THE FIRM VIOLATED REG SHO RULES 204(A) AND 204(B) BY FAILING TO CLOSE OUT FAILS TO DELIVER RESULTING FROM SALE TRANSACTIONS IN CERTAIN PROPRIETARY ACCOUNTS AND AS A RESULT NOT DETERMINING SECURITIES SHOULD HAVE BEEN RESTRICTED FROM FURTHER SHORT SALES, FAILING TO COMPLY WITH THE CLOSE-OUT REQUIREMENTS IN CERTAIN CUSTOMER ACCOUNTS AND FAILING TO MAINTAIN AND APPLY CERTAIN CORRESPONDING WRITTEN SUPERVISORY PROCEDURES AS REQUIRED BY FINRA RULE 3010, 3010(A) AND (B). FINRA ALSO ALLEGED THE FIRM VIOLATED MSRB RULES IN CONNECTION WITH CERTAIN OFFERINGS DURING THE PERIOD BY FILING FORM G-32 WITH THE MUNICIPAL SECURITIES RULEMAKING BOARD (MSRB) CONTAINING AN INCORRECT DATE FOR THREE OFFERINGS AND LATE TO EMMA FOR TEN OFFERINGS, FAILING TO TIMELY SEND THE FINAL SETTLEMENT LETTERS TO ACCOMPLISH FINAL SETTLEMENT REQUIRED BY G-11 FOR TWO OFFERINGS, AND AMENDING BY ONE DAY LATE THE OFFICIAL STATEMENT WITH MSRB REQUIRED BY G-36 IN THREE OFFERINGS. FINALLY FINRA ALLEGED THE FIRM VIOLATED RULE 3010 AND MSRB G-27 BY FAILING TO ENFORCE ITS WRITTEN POLICIES AND PROCEDURES PERTAINING TO DEPOSITS OF LOW-PRICED SECURITIES THAT TRADED ON THE OTCBB BY ACCEPTING A CERTIFICATE FOR 5 MILLION SHARES IN ONE BRANCH OFFICE WITHOUT OBTAINING AN EXCEPTION AS REQUIRED AND EXECUTING FOUR RETAIL VARIABLE RATE DEMAND OBLIGATION (VRDO) SECURITIES TRADES WITHOUT UPDATING ITS WRITTEN SUPERVISORY PROCEDURES (WSPS) TO ADDRESS THE DISCLOSURE OF ALL MATERIAL INFORMATION TO CUSTOMERS IN CONNECTION WITH SUCH TRANSACTIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THE FIRM WAS CENSURED AND FINED $52,500 ($5,000 OF WHICH PERTAINS TO THE MSRB RULE VIOLATIONS).
Allegations: FINRA ALLEGED THE FIRM DID NOT CLOSE OUT FAIL-TO-DELIVER POSITIONS BY PURCHASING SECURITIES OF LIKE KIND AND QUANTITY WITHIN THE TIME FRAME PRESCRIBED BY REG SHO AND RULE 204 AND 204T. FURTHER, THE FIRM DID NOT PROPERLY TRANSMIT REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDIT TRAIL SYSTEM (OATS) WITHIN THE APPROPRIATE TIME PERIOD DUE TO CONTEXT OR SYNTAX ERRORS. THE FIRM ALSO DID NOT PROPERLY REPAIR OR RESUBMIT CERTAIN INACCURATE ROES WITHIN THE APPROPRIATE TIME PERIOD AS PRESCRIBED BY FINRA RULE 7450 . FINALLY, AS REQUIRED BY MSRB RULE G-17 AND G-30(A), THE FIRM DID NOT REASONABLY PRICE CERTAIN MUNICIPAL SECURITIES THAT WERE PURCHASED IN THE AGGREGATE FROM CUSTOMER ACCOUNTS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THE FIRM WAS ALSO CENSURED, FINED $45,000, ORDERED TO PAY $5,758.36 IN RESTITUTION TO CUSTOMERS RELATING TO THE MUNICIPAL SECURITIES PRICING, AND REQUIRED TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING OATS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO DISPLAY IMMEDIATELY CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES (INCLUDING THE ORDERS' FULL SIZE AND PRICE) IN ITS PUBLIC QUOTATION, WHEN EACH SUCH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY; OR WHEN THE ORDER WAS PRICED EQUAL TO THE FIRM'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER FOR EACH SUCH SECURITY, AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY, IN VIOLATION OF SEC RULE 604 OF REGULATION NMS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JANNEY ENTERED IN AN AWC WITH NASDAQ IN WHICH IT CONSENTED TO A CENSURE AND FINE IN THE AMOUNT OF $12,500 RELATED TO SEC RULE 604 OF REGULATION NMS. THE FIRM HAS UPDATED ITS SUPERVISORY POLICIES AND PROCEDURES TO ADDRESS THESE FINDINGS.
Allegations: FINRA ALLEGED THE FIRM FAILED TO SHOW THE CORRECT TIME OF ENTRY AND THE TERMS AND CONDITIONS ON THE MEMORANDUM OF 50 BROKERAGE ORDERS DURING THE REVIEW PERIOD IN VIOLATION OF SEC RULE 17A-3 AND FINRA RULE 4511. ADDITIONALLY, DURING THE REVIEW PERIOD, THE FIRM TRANSMITTED TO OATS 50 REPORTS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA. SPECIFICALLY, THE REPORTS CONTAINED 50 INACCURATE ORDER RECEIPT TIMESTAMPS, 33 INACCURATE ACCOUNT TYPE CODES, 33 INACCURATE CAPACITY CODES, AND 50 INCOMPLETE SPECIAL HANDLING CODES IN VIOLATION OF FINRA RULE 7450(A). Status: Final Sanction Detail: THE FIRM PAID THE REQUIRED PENALTY OF $17,500. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO SHOW THE CORRECT TIME OF ENTRY AND THE TERMS AND CONDITIONS ON THE MEMORANDUM OF 50 BROKERAGE ORDERS AND TRANSMITTED 50 REPORTS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA TO THE ORDER AUDIT TRAIL SYSTEM (OATS). THE FIRM HAS PAID THE REQUIRED PENALTY ($17,500) AND THE PROCESSES IN QUESTION HAVE SINCE BEEN AUTOMATED AND THE FIRMS POLICIES AND PROCEDURES UPDATED ACCORDINGLY.
Allegations: IT WAS ALLEGED THAT JANNEY DID NOT COMPLY WITH CERTAIN ITEMS IN THE REGISTRATION AGREEMENTS OF SEVERAL REGISTERED REPRESENTATIVES. Status: Final Sanction Detail: ADMINISTRATIVE FINE OF $10,000.00 PAID IN FULL BY JANNEY MONTGOMERY SCOTT LLC ON 04/19/2011. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS RAISED BY THE STATE OF FLORIDA, OFFICE OF FINANCIAL REGULATION, JANNEY MONTGOMERY SCOTT LLC ENTERED INTO A STIPULATION AND CONSENT AGREEMENT WITH THE OFFICE, WHICH WAS ADOPTED BY THE OFFICE THROUGH A FINAL ORDER DATED APRIL 19, 2011. JANNEY CONSENTED TO THE FINDING THAT IT DID NOT COMPLY WITH CERTAIN TERMS OF THE REGISTRATION AGREEMENTS BELONGING TO SEVERAL OF ITS REGISTERED REPRESENTATIVES, AGREED TO CEASE AND DESIST FROM ANY OTHER VIOLATIONS OF FLORIDA'S ADMINISTRATIVE RULES AND PAID AN ADMINISTRATIVE FINE OF $10,000. THE OFFICE OF FINANCIAL REGULATION AGREED TO RELEASE THREE REGISTERED REPRESENTATIVES FROM THEIR REGISTRATION AGREEMENTS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF FINDINGS THAT CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS ELIGIBLE TO PURCHASE CERTAIN MUTUAL FUNDS AT A DISCOUNT WERE NOT ISSUED APPLICABLE DISCOUNTS. THE FINDINGS FURTHER STATED THAT THE FIRM FAILED TO MAINTAIN POLICIES AND PROCEDURES DESIGNED TO ENSURE SUCH DISCOUNTS WERE OFFERED AS APPROPRIATE. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND AGREED TO PAY APPROXIMATELY $1,030,235, IN RESTITUTION PLUS INTEREST TO ELIGIBLE CUSTOMERS. Summary: IN MAY 2015, THE FIRM SELF-REPORTED THAT SOME ELIGIBLE CUSTOMERS HAD NOT RECEIVED AVAILABLE SALES CHARGE WAIVERS. AS A RESULT, THE FIRM ESTIMATES THAT ELIGIBLE CUSTOMERS WERE OVERCHARGED BY APPROXIMATELY $1,030,235 FOR MUTUAL FUND PURCHASES MADE BETWEEN JULY 1, 2009 AND JUNE 24, 2015. AS PART OF THIS SETTLEMENT, THE FIRM AGREES TO PAY RESTITUTION PLUS INTEREST. THE FIRM WILL ALSO ENSURE THAT RETIREMENT AND CHARITABLE ACCOUNT MUTUAL FUND FEE WAIVERS ARE APPROPRIATELY APPLIED TO ALL FUTURE TRANSACTIONS. IN RESOLVING THIS MATTER, FINRA HAS RECOGNIZED THE EXTRAORDINARY COOPERATION OF THE FIRM FOR HAVING: (1) INITIATED, PRIOR TO DETECTION OR INTERVENTION BY A REGULATOR, AN INVESTIGATION TO IDENTIFY WHETHER ELIGIBLE CUSTOMERS RECEIVED SALES CHARGE WAIVERS DURING THE RELEVANT PERIOD; (2) PROMPTLY ESTABLISHED A PLAN OF REMEDIATION FOR ELIGIBLE CUSTOMERS WHO DID NOT RECEIVE APPROPRIATE SALES CHARGE WAIVERS; (3) PROMPTLY SELF-REPORTED TO FINRA; (4) PROMPTLY TAKEN ACTION AND REMEDIAL STEPS TO CORRECT THE VIOLATIVE CONDUCT; AND (5) EMPLOYED SUBSEQUENT CORRECTIVE MEASURES, PRIOR TO DETECTION OR INTERVENTION BY A REGULATOR, TO REVISE ITS PROCEDURES TO AVOID RECURRENCE OF THE MISCONDUCT.
Allegations: 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 EMPLOYMENT, RESULTING IN FAILURE TO DETECT AND PREVENT A FRAUDULENT SCHEME CONDUCTED BY THE FORMER FINANCIAL ADVISOR. Status: Final Sanction Detail: THE FIRM AGREED TO PAY AN ADMINISTRATIVE FINE OF $125,000 AND $10,000 TOWARDS THE COST OF THE INVESTIGATION. Summary: THE COMMONWEALTH OF PENNSYLVANIA, DEPARTMENT OF BANKING AND SECURITIES, AND JANNEY MONTGOMERY SCOTT LLC ENTERED INTO AN ADMINISTRATIVE CONSENT AGREEMENT AND ORDER, WHICH WAS ADOPTED BY THE COMMONWEALTH THROUGH A FINAL ORDER FILED ON JULY 18, 2016. BASED ON THE RESULTS OF THE INVESTIGATION, WHICH INCLUDED THE FULL COOPERATION OF JANNEY, THE FIRM CONSENTED TO THE FINDINGS, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THAT THE FIRM OPERATED IN VIOLATION OF THE PENNSYLVANIA SECURITIES ACT OF 1972, HAVING FAILED TO REASONABLY SUPERVISE THE SECURITIES ACTIVITIES OF THE FORMER FINANCIAL ADVISOR.
Allegations: 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. Status: Final Sanction Detail: SEE SANCTIONS ABOVE
Allegations: IT WAS ALLEGED THERE WAS A VIOLATION OF SECTION 203 OF RIUSA IN JANNEY MONTGOMERY SCOTT LLC EMPLOYMENT OF ONE INDIVIDUAL AS AN INVESTMENT ADVISOR REPRESENTATIVE WHO SERVICED ONE RHODE ISLAND ACCOUNT JANUARY 2006 WITHOUT EFFECTIVE LICENSING. Status: Final Sanction Detail: THE FINE WAS PAID ON DECEMBER 4, 2006 Summary: DUE TO AN ADMINISTRATIVE ERROR A VIOLATION OF SECTION 203 OF RIUSA OCCURRED WHEN JANNEY MONTGOMERY SCOTT LLC PERMITTED ONE INVESTMENT ADVISOR REPRESENTATIVE TO SERVICE ONE RHODE ISLAND ACCOUNT IN JANUARY 2006 WITHOUT EFFECTIVE LICENSING.
Allegations: THE MASSACHUSETTS DIVISION OF INSURANCE ALLEGES JANNEY MONTGOMERY SCOTT FAILED TO ACCURATELY ANSWER A BACKGROUND QUESTION ON ITS 2010 LICENSE APPLICATION IN VIOLATION OF M.G.L. C.175 162R(A)(1). Status: Final Sanction Detail: CEASE AND DESIST FROM THE ALLEGED CONDUCT. Summary: THE MASSACHUSETTS DIVISION OF INSURANCE ALLEGES JANNEY MONTGOMERY SCOTT FAILED TO ACCURATELY ANSWER A BACKGROUND QUESTION ON ITS 2010 LICENSE APPLICATION IN VIOLATION OF M.G.L. C.175 162R(A)(1). IN LIGHT OF ALL THE FACTS AND CIRCUMSTANCES, THE DIVISION PROPOSED TO RESOLVE THIS MATTER THROUGH A SETTLEMENT IF JANNEY, WITHOUT ADMITTING TO ANY VIOLATION OF MASSACHUSETTS INSURANCE LAWS, AGREES TO CEASE AND DESIST FROM THE ABOVE ALLEGED CONDUCT. THIS MATTER WAS RESOLVED ON MAY 28, 2013.
Allegations: IT WAS ALLEGED JANNEY MONTGOMERY FAILED TO KEEP THE REQUIRED REGISTRATION RECORDS OF LICENSES AND REGISTRATIONS PERTAINING TO TWO REGISTERED REPRESENTATIVES. Status: Final Sanction Detail: THE CIVIL PENALTY OF $3,000 PLUS $2,000 FOR COST OF THE INVESTIGATION WAS PAID 08/13/2004. RESTITUTION IN THE AMOUNT OF $1,096.50 WAS PAID TO TWO CUSTOMERS ON 09/08/2004. Summary: JANNEY MONTGOMERY SCOTT LLC NEITHER ADMITS NOR DENIES THE FINDING OF FACT AND CONCLUSIONS OF LAW CONTAINED HEREIN, BUT CONSENTS TO THE ENTRY OF THE FOREGOING CONSENT ORDER.
Allegations: 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 ALLEGED THAT JANNEY FAILED TO TIMELY PRODUCE RECORDS REQUESTED BY THE AGENCY OR AMEND THE FORM U-5 PREVIOUSLY FILED RELATED TO THE FORMER EMPLOYEE. Status: Final Sanction Detail: N/A
Allegations: IT IS ALLEGED THAT JANNEY FAILED TO ADEQUATELY ESTABLISH, MAINTAIN AND ENFORCE POLICIES AND PROCEDURES REASONABLY DESIGNED, TAKING INTO CONSIDERATION OF ITS BUSINESS, TO PREVENT THE MISUSE OF MATERIAL, NONPUBLIC INFORMATION PURSUANT TO SECTION 15(G) OF THE EXCHANGE ACT AND IN CERTAIN INSTANCES, FAILED TO PROPERLY IMPLEMENT OR ENFORCE SUCH POLICIES AND PROCEDURES. Status: Final Sanction Detail: CIVIL MONETARY PENALTY OF $850,000 PAID IN FULL BY JANNEY MONTGOMERY SCOTT LLC ON JULY 12, 2011. Summary: JANNEY SUBMITTED AN OFFER OF SETTLEMENT, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, AND CONSENTED TO THE FINDING THAT FROM 2005 THROUGH 2009, THE FIRM FAILED TO ADEQUATELY ESTABLISH, MAINTAIN AND ENFORCE POLICITES AND PROCEDURES REASONABLE DESIGNED, TAKING INTO CONSIDERATION THE NATURE OF ITS BUSINESS, TO PREVENT THE MISUSE OF MATERIAL, NONPUBLIC INFORMATION PURSUANT TO SECTION 15(G) OF THE EXCHANGE ACT AND IN CERTAIN INSTANCES, SUCH POLICIES AND PROCEDURES WERE NOT PROPERLY IMPLEMENTED OR ENFORCED. THROUGHOUT THE COURSE OF THIS MATTER, JANNEY COMMITTED SIGNIFIGANT RESOURCES TO IMPROVING ITS SECTION 15(G) POLICIES AND PROCEDURES AND WILL CONTINUE TO EVALUATE THESE PROCEDURES WHILE WORKING WITH AN INDEPENDENT CONSULTANT.
Allegations: IN THREE INSTANCES IN 1999 AND 2000, THE FIRM FAILED TO DISCLOSE THAT IT HAD RECEIVED A PAYMENT FOR PUBLISHING RESEARCH. IT WAS ALSO ALLEGED THE FIRM FAILED TO MAINTAIN INTERNAL ELECTRONIC MAIL COMMUNICATIONS FROM JULY 1999 THROUGH JUNE 2001. Status: Final Sanction Detail: A FINE OF $875,000 WAS PAID IN FULL 09/16/2004. Summary: DURING 1999 AND 2000, JANNEY MONTGOMERY RECEIVED THREE PAYMENTS IN CONSIDERATION FOR PUBLISHING RESEARCH ON THREE PUBLIC COMPANIES. JANNEY MONTGOMERY DID NOT DISCLOSE THOSE PAYMENTS IN ITS RESEARCH REPORTS. THE FIRM'S FAILURE TO DISCLOSE THESE PAYMENTS WERE IN VIOLATION OF SECTION 17(B) OF THE SECURITIES ACT. IN ADDITION, FROM JULY 1999 THROUGH JUNE 2001, JANNEY MONTGOMERY FAILED TO PRESERVE BUSINESS-RELATED INTERNAL ELECTRONIC MAIL COMMUNICATIONS THAT IT WAS REQUIRED TO MAINTAIN PURSUANT TO SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
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