AC
Alfred R. Cordell
JANNEY MONTGOMERY SCOTT LLC
Florence, SC 29501
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CRD#: 1709095
AC
Professional summary
Alfred Robert Cordell JR, who also goes by Alfred Robert Cordell, Rob Cordell Jr, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Florence, South Carolina.
Alfred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Alfred has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alfred Robert Cordell | Rob Cordell Jr
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alfred Robert Cordell JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alfred Robert Cordell JR'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
August 12, 2021 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1831 W Evans Street Ste. 220, Florence, SC 29501RIA
BD
CRD#: 463
Florence, SC
Current
August 12, 2021 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1831 W Evans Street Ste. 220, Florence, SC 29501RIA
BD
CRD#: 463
Florence, SC
Past
February 17, 2021 - August 12, 2021
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
ATLANTA, GA
Past
February 17, 2021 - August 12, 2021
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WINSTON-SALEM, NC
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
June 12, 2002 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
WINSTON-SALEM, NC
Past
April 12, 2002 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
WINSTON-SALEM, NC
Past
October 1, 1999 - April 19, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 14, 1990 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
November 21, 1988 - August 29, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 22, 1987 - November 25, 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(8/18/2021)
RR
California(8/18/2021)
RR
Colorado(8/19/2021)
RR
Delaware(8/24/2021)
RR
District of Columbia(8/16/2021)
IAR
District of Columbia(8/24/2021)
RR
Florida(8/19/2021)
RR
Georgia(8/12/2021)
RR
Illinois(9/4/2025)
RR
Indiana(8/12/2021)
RR
Maine(5/6/2025)
RR
Maryland(8/18/2021)
RR
Massachusetts(8/19/2021)
RR
Michigan(8/24/2021)
RR
Minnesota(8/19/2021)
RR
Mississippi(9/2/2021)
RR
Montana(8/19/2021)
RR
Nebraska(8/20/2021)
RR
New Jersey(8/18/2021)
RR
New York(8/19/2021)
IAR
North Carolina(8/12/2021)
RR
North Carolina(8/13/2021)
RR
Ohio(8/18/2021)
RR
Oregon(8/23/2021)
RR
Pennsylvania(8/19/2021)
RR
South Carolina(8/12/2021)
IAR
South Carolina(8/12/2021)
RR
Tennessee(8/12/2021)
RR
Texas(8/12/2021)
IAR
Texas(2/14/2024)
RR
Virginia(8/12/2021)
RR
West Virginia(8/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Florence, SC 29501TRUST BUT VERIFY
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