GK
George H. Keith
JANNEY MONTGOMERY SCOTT LLC
Darien, CT 06820
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CRD#: 1031080
GK
Professional summary
George Humbert Keith is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Darien, Connecticut.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. George has worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Habitat for Humanity Coastal Fairfield County; Charitable organization building homes for working class families; 1542 Barnum Ave. Bridgeport, CT 06610; Start date: 05/15/2014; Oversee board, plan strategy with CEO; 10hrs/month; 0.20hr/day; Not investment-related
CRS (Client Relationship Summary) - RIA
Click below to view George Humbert Keith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Humbert Keith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 25, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 800 Post Road 2nd Floor, Darien, CT 06820RIA
BD
CRD#: 463
Darien, CT
Current
August 1, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 800 Post Road 2nd Floor, Darien, CT 06820RIA
BD
CRD#: 463
Darien, CT
Past
June 10, 2009 - December 14, 2011
SMH CAPITAL INVESTMENTS LLC
BD
CRD#: 24535
WESTPORT, CT
Past
October 20, 2004 - April 22, 2008
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
NEW YORK, NY
Past
April 30, 1999 - March 1, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
August 23, 1997 - April 15, 1999
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
February 27, 1995 - September 20, 1996
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
NEW YORK, NY
Past
May 20, 1986 - February 27, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/28/2019)
RR
Arizona(1/28/2019)
RR
Arkansas(2/4/2019)
RR
California(1/29/2019)
RR
Colorado(4/24/2019)
RR
Connecticut(8/1/2012)
IAR
Connecticut(9/25/2012)
RR
Delaware(4/5/2019)
RR
District of Columbia(1/30/2019)
RR
Florida(1/29/2019)
RR
Georgia(6/10/2022)
RR
Hawaii(4/25/2019)
RR
Idaho(1/28/2019)
RR
Illinois(5/21/2019)
RR
Kentucky(3/21/2019)
RR
Maine(5/28/2019)
RR
Maryland(1/29/2019)
RR
Massachusetts(5/1/2019)
RR
Michigan(2/1/2019)
RR
Minnesota(1/29/2019)
RR
Montana(1/28/2019)
RR
Nevada(6/16/2022)
RR
New Hampshire(3/19/2019)
RR
New Jersey(1/28/2019)
RR
New Mexico(1/29/2019)
RR
New York(1/29/2019)
IAR
New York(11/9/2021)
RR
North Carolina(1/28/2019)
RR
Ohio(1/28/2019)
RR
Oklahoma(6/9/2022)
RR
Oregon(1/29/2019)
RR
Pennsylvania(2/1/2019)
RR
Rhode Island(1/29/2019)
RR
South Carolina(2/4/2019)
RR
Tennessee(1/29/2019)
RR
Texas(1/30/2019)
IAR
Texas(1/30/2019)
RR
Vermont(3/15/2019)
RR
Virginia(1/29/2019)
RR
Washington(1/28/2019)
RR
Wisconsin(1/29/2019)
RR
Wyoming(2/4/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
