KK
Keith R. Kleinman
JANNEY MONTGOMERY SCOTT LLC
Wilkes-barre, PA 18702
Some features on this profile are disabled
CRD#: 1064497
KK
Professional summary
Keith Robert Kleinman is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Wilkes-barre, Pennsylvania.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Keith has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 8 and Series 27 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Robert Kleinman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Robert Kleinman'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
April 9, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 613 Baltimore Drive Suite 202, Wilkes-barre, PA 18702RIA
BD
CRD#: 463
Wilkes-barre, PA
Current
March 19, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 613 Baltimore Drive Suite 202, Wilkes-barre, PA 18702RIA
BD
CRD#: 463
Wilkes-barre, PA
Past
January 1, 2008 - March 25, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SCRANTON, PA
Past
February 11, 1999 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SCRANTON, PA
Past
July 8, 1998 - January 11, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 23, 1996 - June 12, 1998
FIRST SECURITY INVESTMENTS, INC.
BD
CRD#: 24035
KINGSTON, PA
Past
November 5, 1991 - December 31, 1994
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
June 14, 1990 - November 14, 1991
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
May 26, 1989 - June 21, 1990
FIRST SECURITY INVESTMENTS, INC.
BD
CRD#: 24035
KINGSTON, PA
Past
February 23, 1989 - June 10, 1989
JSC SECURITIES, INC.
BD
CRD#: 475
Past
April 11, 1988 - March 7, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
October 23, 1986 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
October 20, 1982 - October 22, 1986
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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(6/30/2023)
RR
Arkansas(12/27/2016)
RR
California(3/20/2009)
RR
Colorado(7/30/2015)
RR
Connecticut(1/10/2013)
RR
Delaware(8/19/2019)
RR
District of Columbia(11/15/2013)
RR
Florida(3/19/2009)
RR
Kansas(10/4/2018)
RR
Maryland(1/31/2025)
RR
Massachusetts(11/19/2024)
RR
New Jersey(3/19/2009)
RR
New York(3/19/2009)
RR
North Carolina(1/30/2013)
RR
Ohio(3/19/2009)
RR
Pennsylvania(3/19/2009)
IAR
Pennsylvania(4/9/2009)
RR
Rhode Island(5/2/2012)
IAR
Texas(5/20/2013)
RR
Texas(7/17/2019)
RR
Vermont(3/19/2009)
RR
Virginia(3/19/2009)
RR
West Virginia(7/31/2024)
Exams
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
RR
Series 8
Date: 9/13/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Wilkes-barre, PA 18702TRUST BUT VERIFY
Monitor Keith Kleinman
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
