AK
Andrew M. Kistler
JANNEY MONTGOMERY SCOTT LLC
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 1198130
AK
Professional summary
Andrew Milton Kistler III, who also goes by Andy Milton Kistler III, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Charlotte, North Carolina.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Andrew has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Milton Kistler Iii
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.
Grandfather Golf and Country Club, Linville, NC. Finance Committee (10/2023) - provide insights and feedback to the Board of Director Committee Chair. Not investment related, not compensated, 2 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Milton Kistler III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Milton Kistler III'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 26, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Current
September 26, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Past
October 14, 2009 - October 5, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
BETHESDA, MD
Past
October 14, 2009 - October 5, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
BETHESDA, MD
Past
June 14, 2006 - December 2, 2008
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
ROCKVILLE, MD
Past
May 11, 2006 - December 2, 2008
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
ROCKVILLE, MD
Past
January 6, 2000 - May 20, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WASHINGTON, DC
Past
July 31, 1993 - May 20, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WASHINGTON, DC
Past
March 19, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 26, 1988 - November 2, 1999
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
May 14, 1988 - October 5, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
March 9, 1988 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
March 12, 1987 - March 15, 1988
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
Past
October 20, 1983 - March 20, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Arkansas(4/25/2023)
RR
District of Columbia(9/26/2012)
IAR
District of Columbia(10/3/2012)
RR
Florida(4/26/2023)
RR
Georgia(9/26/2012)
RR
Indiana(5/10/2016)
RR
Maryland(9/26/2012)
IAR
Maryland(9/26/2012)
RR
Massachusetts(4/25/2023)
RR
New York(9/4/2024)
RR
North Carolina(9/26/2012)
IAR
North Carolina(10/2/2012)
RR
South Carolina(9/26/2012)
RR
Washington(7/12/2013)
RR
Wisconsin(4/25/2023)
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: 4/29/1988
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)
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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.
