PF
Philip L. Fried
JANNEY MONTGOMERY SCOTT LLC
Cary, NC 27519
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CRD#: 1849320
PF
Professional summary
Philip L Fried, CFP®, who also goes by Philip Lawrence Fried, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Cary, North Carolina.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Philip has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Philip Lawrence Fried
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.
Self - Vacation Home, 320 Medallion Blvd Unit F, Madeira Beach, FL 33708; start date: 07/28/2020; Unit is primarily for personal use - on rare occasion may rent out; not investment-related.
CRS (Client Relationship Summary) - RIA
Click below to view Philip L Fried's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Philip L Fried'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®
CFP®
Start date: 2005
Experience
Current
March 28, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 2128 High House Road Suite 201, Cary, NC 27519RIA
BD
CRD#: 463
Cary, NC
Current
March 28, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 2128 High House Road Suite 201, Cary, NC 27519RIA
BD
CRD#: 463
Cary, NC
Past
July 3, 2008 - March 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CARY, NC
Past
July 3, 2008 - March 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CARY, NC
Past
August 6, 2002 - July 24, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FT. LAUDERDALE, FL
Past
August 2, 2002 - July 24, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FT. LAUDERDALE, FL
Past
January 3, 1997 - August 21, 2002
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
FT LAUDERDALE, FL
Past
December 5, 1995 - August 21, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 20, 1995 - November 28, 1995
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
July 12, 1988 - June 10, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
July 12, 1988 - June 10, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(5/28/2021)
RR
Arkansas(3/28/2019)
RR
California(3/28/2019)
RR
Colorado(2/26/2020)
RR
Connecticut(3/28/2019)
RR
Delaware(7/1/2024)
RR
District of Columbia(5/15/2025)
RR
Florida(3/28/2019)
IAR
Florida(3/29/2019)
RR
Georgia(3/28/2019)
RR
Illinois(3/28/2025)
RR
Indiana(4/4/2019)
RR
Maryland(3/28/2019)
RR
Massachusetts(3/28/2019)
RR
Michigan(3/28/2019)
RR
Minnesota(3/28/2019)
RR
New Jersey(3/28/2019)
RR
New York(3/28/2019)
RR
North Carolina(3/28/2019)
IAR
North Carolina(3/28/2019)
RR
Ohio(3/28/2019)
RR
Oregon(3/28/2019)
RR
Pennsylvania(3/28/2019)
RR
South Carolina(3/28/2019)
RR
Tennessee(3/28/2025)
RR
Texas(3/28/2019)
IAR
Texas(3/28/2019)
RR
Virginia(3/28/2019)
RR
Washington(3/28/2019)
RR
Wisconsin(6/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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#: 463Cary, NC 27519TRUST BUT VERIFY
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