Kristen L. Verdeaux
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kristen Laura Verdeaux, who also goes by Kristen Laura Piete, Kristen L Piette, Kristen Laura Piette, Kristen Verdeaux Piette, Kristen L Verdeaux, Kristine Laura Verdeaux, Kristine Verdeaux, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 1984. Kristen had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2008 - March 25, 2025
JANNEY MONTGOMERY SCOTT LLC
March 3, 2008 - March 25, 2025
JANNEY MONTGOMERY SCOTT LLC
August 10, 2001 - November 12, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 14, 2000 - August 24, 2001
UBS FINANCIAL SERVICES INC.
October 1, 1993 - February 15, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 1993 - November 8, 1993
PERSHING LLC
November 5, 1990 - March 31, 1993
FINANCIAL SQUARE PARTNERS
August 25, 1989 - December 11, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 9, 1985 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
January 16, 1985 - April 12, 1985
MORGAN STANLEY DW INC.
July 26, 1984 - February 12, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 9/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
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.
