Mark A. Giles

JANNEY MONTGOMERY SCOTT LLC

Miami, FL 33156

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CRD#: 1714966

Professional summary

Mark Allen Giles is a registered financial professional currently at JANNEY MONTGOMERY SCOTT LLC located in Miami, Florida.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Allen Giles's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 18, 2025 - Present

JANNEY MONTGOMERY SCOTT LLC

Office #1: 8950 Sw 74 Court Suite 2005, Miami, FL 33156

RIA

CRD#: 463

Miami, FL

Past

September 2, 2022 - April 22, 2025

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

February 26, 2013 - June 17, 2022

DAVIS DISTRIBUTORS, LLC

CRD#: 7975

NEW YORK, NY

Past

February 28, 2012 - February 26, 2013

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

DALLAS, TX

Past

October 28, 2009 - February 26, 2013

NEUBERGER BERMAN BD LLC

CRD#: 2908

DALLAS, TX

Past

April 2, 1999 - October 16, 2009

DAVIS DISTRIBUTORS, LLC

CRD#: 7975

NEW YORK, NY

Past

October 5, 1993 - March 3, 1999

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

February 2, 1993 - September 9, 1993

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

July 1, 1989 - February 26, 1993

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

June 21, 1988 - August 14, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

CRD#: 839

Past

May 20, 1988 - July 9, 1988

J. T. MORAN & CO., INC.

CRD#: 15655

Past

August 20, 1987 - May 23, 1988

SHERWOOD CAPITAL, INC.

CRD#: 10474

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)

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.

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

Alabama
(7/18/2025)

Alaska
(7/18/2025)

Arizona
(7/18/2025)

Arkansas
(7/18/2025)

California
(7/18/2025)

Colorado
(7/18/2025)

Connecticut
(7/18/2025)

Delaware
(7/18/2025)

District of Columbia
(7/18/2025)

Florida
(7/18/2025)

Georgia
(7/18/2025)

Hawaii
(7/18/2025)

Idaho
(7/18/2025)

Illinois
(7/18/2025)

Indiana
(7/18/2025)

Iowa
(7/18/2025)

Kansas
(7/18/2025)

Kentucky
(7/18/2025)

Louisiana
(7/18/2025)

Maine
(7/18/2025)

Maryland
(7/18/2025)

Massachusetts
(7/18/2025)

Michigan
(7/18/2025)

Minnesota
(7/18/2025)

Mississippi
(7/18/2025)

Missouri
(7/18/2025)

Montana
(7/18/2025)

Nebraska
(7/18/2025)

Nevada
(7/18/2025)

New Hampshire
(7/18/2025)

New Jersey
(7/18/2025)

New Mexico
(7/18/2025)

New York
(7/18/2025)

North Carolina
(7/21/2025)

North Dakota
(7/18/2025)

Ohio
(7/21/2025)

Oklahoma
(7/18/2025)

Oregon
(7/18/2025)

Pennsylvania
(7/18/2025)

Puerto Rico
(7/18/2025)

Rhode Island
(7/18/2025)

South Carolina
(7/18/2025)

South Dakota
(7/18/2025)

Tennessee
(7/18/2025)

Texas
(7/18/2025)

Utah
(7/18/2025)

Vermont
(7/18/2025)

Virginia
(7/18/2025)

Washington
(7/18/2025)

West Virginia
(7/18/2025)

Wisconsin
(7/18/2025)

Wyoming
(7/18/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/27/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JANNEY MONTGOMERY SCOTT WRAP FEE DISCLOSURE BROCHURE (10/3/2025)

JANNEY MONTGOMERY SCOTT INVESTMENT MANAGEMENT DISCLOSURE BROCHURE (10/3/2025)

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	Cover Page	Report
03/21/2025	Cover Page	Report
10/09/2024	Cover Page	Report
10/26/2023	Cover Page	Report

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.

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Mark A. Giles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Allen Giles's CRS (Customer Relationship Summary).

Certified licenses

Experience

BNY MELLON SECURITIES CORPORATION

DAVIS DISTRIBUTORS, LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

DAVIS DISTRIBUTORS, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BA INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

UNDERWOOD, NEUHAUS & CO., INCORPORATED

J. T. MORAN & CO., INC.

SHERWOOD CAPITAL, INC.

Primary Firm SEC Registration

JANNEY MONTGOMERY SCOTT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2012

Series 63

Date: 8/19/1987

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1987

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

JANNEY MONTGOMERY SCOTT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

JANNEY MONTGOMERY SCOTT LLC

TRUST BUT VERIFY

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