Peni S. Warren
JANNEY MONTGOMERY SCOTT LLC | Senior Vice President, Senior Financial Advisor
Lewes, DE 19958
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CRD#: 1157535
Professional summary
Peni Sue Warren, who also goes by Peni Sue Galentine, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Lewes, Delaware.
Peni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Peni has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Peni G. Warren is a Wealth Management Senior Financial Advisor at Merrill. Having joined Merrill in 1982, she has 39 years of experience. Peni assists clients, both individuals and businesses, with investment portfolio construction and wealth management planning. She integrates strategic coordination with client’s tax specialists and attorneys to help create a personalized solution for each client. Peni has served on The Bayhealth Foundation Board, currently serves as Chair of Investments for the Delaware State Fair, Inc., is a member of the Southern Delaware Estate Planning Council and a proud Founder and Kent County Delaware Chair for the Fund for Women. Peni resides in Dover, DE with her husband and has 2 sons.
Question & Answer
What are your service offerings?
Trust & estate planning
Institutional consulting
Financial planning
Loans/credit services
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
Peni Sue Galentine
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 Peni Sue Warren's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peni Sue Warren'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
February 20, 2026 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 12001 Old Vine Blvd. Unit #106, Lewes, DE 19958Office #2: 651 North Broad Street Suite 107, Middletown, DE 19709RIA
BD
CRD#: 463
Lewes, DE
Current
February 20, 2026 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 12001 Old Vine Blvd. Unit #106, Lewes, DE 19958Office #2: 651 North Broad Street Suite 107, Middletown, DE 19709RIA
BD
CRD#: 463
Lewes, DE
Past
January 1, 1998 - February 24, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DOVER, DE
Past
July 20, 1983 - February 24, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DOVER, DE
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
Alaska(2/20/2026)
RR
Arizona(2/20/2026)
RR
Arkansas(2/20/2026)
RR
California(2/20/2026)
RR
Colorado(2/20/2026)
RR
Connecticut(2/20/2026)
RR
Delaware(2/20/2026)
IAR
Delaware(2/20/2026)
RR
District of Columbia(2/20/2026)
RR
Florida(2/20/2026)
RR
Georgia(2/20/2026)
RR
Hawaii(2/20/2026)
RR
Illinois(2/20/2026)
RR
Indiana(2/20/2026)
RR
Kentucky(2/20/2026)
RR
Louisiana(2/20/2026)
RR
Maine(2/20/2026)
RR
Maryland(2/20/2026)
RR
Massachusetts(2/20/2026)
RR
Michigan(2/20/2026)
RR
Minnesota(2/20/2026)
RR
Missouri(2/20/2026)
RR
New Hampshire(2/20/2026)
RR
New Jersey(2/20/2026)
RR
New York(2/20/2026)
RR
North Carolina(3/4/2026)
RR
Ohio(2/20/2026)
RR
Oklahoma(2/20/2026)
RR
Oregon(2/20/2026)
RR
Pennsylvania(2/20/2026)
RR
South Carolina(2/20/2026)
RR
South Dakota(2/20/2026)
RR
Tennessee(2/20/2026)
RR
Texas(2/20/2026)
IAR
Texas(2/20/2026)
RR
Vermont(2/20/2026)
RR
Virginia(2/20/2026)
RR
Washington(2/20/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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 | |
| 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
Senior Vice President, Senior Financial AdvisorCRD#: 463Lewes, DE 19958TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
