WH
Wayne A. Howle
JANNEY MONTGOMERY SCOTT LLC
Florence, SC 29501
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CRD#: 1361180
WH
Professional summary
Wayne Adger Howle, who also goes by Wayne A Howle, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Florence, South Carolina.
Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Wayne has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wayne A Howle
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.
Darlington Presbyterian Church, Darlington, SC. Service as a Ruling Elder on the Session/Chair either Property Comm or Stewardship (01/1991); The Session governs the church/decision making body. Not compensated, not investment related, 4 hrs/month.
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Adger Howle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wayne Adger Howle'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
January 18, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1831 W Evans Street Ste. 220, Florence, SC 29501RIA
BD
CRD#: 463
Florence, SC
Current
January 18, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1831 W Evans Street Ste. 220, Florence, SC 29501RIA
BD
CRD#: 463
Florence, SC
Past
January 30, 2012 - January 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FLORENCE, SC
Past
January 27, 2012 - January 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FLORENCE, SC
Past
January 2, 2009 - January 31, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
FLORENCE, SC
Past
July 16, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
FLORENCE, SC
Past
December 4, 2003 - January 31, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FLORENCE, SC
Past
June 20, 2002 - October 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FLORENCE, SC
Past
June 15, 2002 - December 4, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 28, 2002 - June 20, 2002
WACHOVIA SECURITIES, INC.
RIA
CRD#: 431
FLORENCE, SC
Past
October 3, 1994 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
January 2, 1991 - October 25, 1994
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
March 24, 1990 - February 1, 1991
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 13, 1986 - January 7, 1991
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
April 25, 1985 - September 29, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
April 25, 1985 - October 7, 1986
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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(8/10/2023)
RR
California(1/18/2019)
RR
District of Columbia(1/18/2019)
RR
Florida(1/18/2019)
RR
Georgia(2/12/2019)
RR
Indiana(10/3/2022)
RR
Louisiana(6/30/2025)
RR
Maryland(1/18/2019)
RR
Minnesota(7/13/2022)
RR
New York(4/28/2022)
RR
North Carolina(1/18/2019)
RR
Rhode Island(1/18/2019)
RR
South Carolina(1/18/2019)
IAR
South Carolina(1/18/2019)
RR
Tennessee(1/11/2023)
RR
Texas(1/18/2019)
IAR
Texas(1/18/2019)
RR
Virginia(1/18/2019)
RR
Wisconsin(10/27/2020)
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
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.
