TJ
Timothy S. Jones
JANNEY MONTGOMERY SCOTT LLC
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 1614450
TJ
Professional summary
Timothy Smith Jones is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Charlotte, North Carolina.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Timothy has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Carmel Country Club, Charlotte, NC. Member of Rules Committee (06/1999) - Review club rules and violations. Not investment related, not compensated, 1 hour/month.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Smith Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Smith Jones'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
December 20, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Current
December 20, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Past
July 14, 2014 - January 9, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
July 14, 2014 - January 9, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
April 17, 2014 - July 25, 2014
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
WINSTON-SALEM, NC
Past
April 17, 2014 - July 25, 2014
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
WINSTON-SALEM, NC
Past
February 11, 2014 - April 2, 2014
NBC SECURITIES, INC.
BD
CRD#: 17870
BIRMINGHAM, AL
Past
January 29, 2014 - April 2, 2014
NBC SECURITIES, INC.
RIA
CRD#: 17870
BIRMINGHAM, AL
Past
April 13, 2011 - February 7, 2012
TCA FINANCIAL GROUP, LLC
RIA
CRD#: 131275
CHARLOTTE, NC
Past
April 13, 2011 - February 7, 2012
TCA FINANCIAL GROUP, LLC
BD
CRD#: 131275
CHARLOTTE, NC
Past
August 5, 2004 - December 17, 2010
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
CHARLOTTE, NC
Past
August 5, 2004 - December 17, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CHARLOTTE, NC
Past
May 12, 2003 - August 3, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CHARLOTTE, NC
Past
May 12, 2003 - August 3, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 3, 2003 - April 28, 2003
AMSOUTH INVESTMENT SERVICES, INC.
RIA
CRD#: 15692
BIRMINGHAM, AL
Past
April 5, 2002 - April 28, 2003
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
BIRMINGHAM, AL
Past
October 26, 1988 - March 21, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
September 26, 1988 - November 12, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
January 21, 1987 - September 28, 1988
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
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(12/23/2019)
RR
Arizona(12/23/2019)
RR
Arkansas(12/20/2019)
RR
California(6/8/2022)
RR
Connecticut(12/23/2019)
RR
Florida(10/27/2020)
RR
Georgia(10/27/2020)
RR
Indiana(10/27/2020)
RR
Kentucky(8/21/2025)
RR
Maine(3/7/2023)
RR
Massachusetts(12/20/2019)
RR
Michigan(6/8/2022)
RR
Montana(4/5/2021)
RR
Nevada(6/8/2022)
RR
New Jersey(10/27/2020)
RR
New York(12/23/2019)
RR
North Carolina(12/20/2019)
IAR
North Carolina(12/20/2019)
RR
Ohio(10/28/2020)
RR
Oklahoma(6/8/2022)
RR
Oregon(10/27/2020)
RR
Pennsylvania(12/23/2019)
RR
South Carolina(12/20/2019)
IAR
South Carolina(10/28/2020)
RR
Tennessee(11/22/2024)
RR
Texas(12/23/2019)
IAR
Texas(12/23/2019)
RR
Utah(12/20/2019)
RR
Vermont(6/8/2022)
RR
Virginia(12/23/2019)
RR
Washington(4/2/2020)
RR
West Virginia(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
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/27/1992
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.
