ES
Edward J. Sherwood
JANNEY MONTGOMERY SCOTT LLC
Yardley, PA 19067
Some features on this profile are disabled
CRD#: 1189093
ES
Professional summary
Edward James Deardon Sherwood, who also goes by Ed Sherwood, Edward J D Sherwood, Edward James Sherwood, Edward James Dearden Sherwood, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Yardley, Pennsylvania.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Edward has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ed Sherwood | Edward J D Sherwood | Edward James Sherwood | Edward James Dearden Sherwood
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.
Bucks County Association for the Blind and Visually Impaired Organization, Newtown, PA. Board Member (07/2020) - review proposals and statements. Not investment related, not compensated, 2 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Edward James Deardon Sherwood's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward James Deardon Sherwood'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
March 30, 2006 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1010 Stony Hill Road Suite 300, Yardley, PA 19067RIA
BD
CRD#: 463
Yardley, PA
Current
June 1, 2001 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1010 Stony Hill Road Suite 300, Yardley, PA 19067RIA
BD
CRD#: 463
Yardley, PA
Past
July 10, 1998 - June 5, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 21, 1992 - July 16, 1998
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
November 3, 1987 - April 24, 1992
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
Past
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
BD
CRD#: 2
Past
May 21, 1985 - April 24, 1992
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
August 27, 1984 - May 21, 1985
COLLINGS LEGG MASON, INC.
BD
CRD#: 4001
Past
October 19, 1983 - July 20, 1984
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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
Arizona(4/26/2021)
RR
California(2/4/2020)
RR
Colorado(11/7/2023)
RR
Connecticut(2/27/2024)
RR
Delaware(11/15/2017)
RR
District of Columbia(2/27/2024)
RR
Florida(6/1/2001)
RR
Georgia(2/27/2024)
RR
Illinois(4/26/2021)
RR
Indiana(1/3/2023)
RR
Iowa(7/2/2020)
RR
Kentucky(2/27/2024)
RR
Louisiana(7/24/2008)
RR
Maine(1/17/2020)
RR
Maryland(4/27/2023)
RR
Massachusetts(7/24/2018)
RR
Michigan(12/4/2006)
IAR
Michigan(1/22/2010)
RR
Mississippi(1/12/2022)
RR
New Hampshire(2/29/2008)
RR
New Jersey(6/1/2001)
RR
New York(2/12/2004)
RR
Ohio(4/20/2011)
RR
Oklahoma(1/10/2005)
RR
Pennsylvania(6/1/2001)
IAR
Pennsylvania(3/30/2006)
RR
South Carolina(2/8/2018)
RR
South Dakota(2/27/2024)
RR
Texas(4/7/2006)
IAR
Texas(2/9/2018)
RR
Utah(8/29/2018)
RR
Vermont(2/4/2020)
RR
Virginia(2/27/2024)
RR
Washington(2/4/2020)
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: 8/10/1998
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.
