KC
Kevin T. Charos
JANNEY MONTGOMERY SCOTT LLC
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 1752137
KC
Professional summary
Kevin Thomas Charos, who also goes by Kev Charos, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Red Bank, New Jersey.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kevin has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kev Charos
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.
1) Kevin Charos Family LP; Investment related; 12 Winchester Drive, Scotch Plains, NJ 07076; This entity will hold my shares in Cloverleaf realty and Killeybegs realty for estate tax purposes. I will be a general partner owning 1% and my two children are the beneficiaries of the LP owning 49.5 upon my death. Manage the LP; 1 hr per month/0 hr trading day; Manage the assets of the LP if I deposit cash into it to purchase stock bonds real estate etc. 2) Earagail LLC, East Quogue, NY; Nature: LLC to hold my Mother's home upon her death; Title: Owner - 25%; Duties: I have no involvement in the LLC; Start March 2022; Not compensated. 3. Pocono Pines Property, Pocono Pines, PA. Owner w/Spouse (05/2023) - management company finds tenants. No active hours involved, rental income, not investment related. 4. Seasonal Property Rental, Lake Naomi, PA. Owner w/Spouse (02/2008) - seasonal rental, not investment related, no active involvement, rental income. 5. Fiduciary Responsibilities, East Quogue, NY. Co-Executor of Will (04/2022). Not compensated, 2 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Thomas Charos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Thomas Charos'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
September 26, 2005 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 322 Rt. 35 Suite 110, Red Bank, NJ 07701RIA
BD
CRD#: 463
Red Bank, NJ
Current
November 9, 2001 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 322 Rt. 35 Suite 110, Red Bank, NJ 07701RIA
BD
CRD#: 463
Red Bank, NJ
Past
January 19, 2001 - November 12, 2001
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
NEW YORK, NY
Past
July 22, 1991 - January 24, 2001
CROWN FINANCIAL GROUP, INC.
BD
CRD#: 540
JERSEY CITY, NJ
Past
February 15, 1990 - August 20, 1991
BARRETT DAY SECURITIES, INC.
BD
CRD#: 17717
Past
May 23, 1989 - August 20, 1991
BARRETT DAY SECURITIES, INC.
BD
CRD#: 17717
NEW YORK, NY
Past
November 17, 1988 - May 17, 1989
INDIVIDUAL'S SECURITIES LTD.
BD
CRD#: 7279
Past
October 20, 1987 - December 3, 1988
GREENTREE SECURITIES CORP.
BD
CRD#: 7372
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(9/30/2025)
RR
California(11/9/2001)
IAR
California(10/6/2008)
RR
Connecticut(2/5/2019)
RR
Delaware(11/10/2008)
RR
District of Columbia(10/3/2024)
RR
Florida(11/13/2001)
RR
Georgia(11/9/2001)
RR
Illinois(2/14/2025)
RR
Kansas(4/3/2019)
RR
Massachusetts(2/21/2012)
RR
Nevada(1/6/2015)
RR
New Hampshire(12/16/2013)
RR
New Jersey(11/9/2001)
IAR
New Jersey(9/26/2005)
RR
New York(11/9/2001)
RR
North Carolina(5/20/2015)
RR
South Carolina(3/29/2022)
RR
Texas(11/9/2001)
IAR
Texas(10/10/2008)
Exams
State Security Law Exam
State Security Law 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.
