RW
Reginald W. Wilkes
JANNEY MONTGOMERY SCOTT LLC
Bryn Mawr, PA 19010
Some features on this profile are disabled
CRD#: 1850425
RW
Professional summary
Reginald Wayman Wilkes SR., who also goes by Reggie Wilkes, Reginald Wayman Wilkes Sr, Reginald Wayman Wilkes, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Bryn Mawr, Pennsylvania.
Reginald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Reginald has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Reggie Wilkes | Reginald Wayman Wilkes Sr | Reginald Wayman Wilkes
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) Alexander-Tharpe Fund Board; Charitable arm of the athletic department of Georgia institute of technology/ GA tech; 150 Bobby Dodd way N.W. Atlanta, GA 30332; Start date: 10/15/2020; Board member; debate primary fundraising opportunities and goals for what serves as the primary fundraising department supporting student-athletes at GA tech and join other Members in the oversight of the Fund and to support raising funds for Scholarships for Student-Athletes at Georgia Tech; 3hrs/month; 0.10hr/day; Not investment-related. 2) The Bobby Dodd Coach of the Year Award Foundation, Atlanta, GA; Not investment related; Nature: Foundation supporting Athletics; Title/Position: Board Member - the Board Members are comprised of former Student Athletes from both Georgia Tech and the University of Georgia; Duties: meet to discuss candidates eligible for the best Division 1 NCAA College Football Coach Award; Start 12/9/2021; Devotes 1 hour/month; Not compensated. 3) GR8 Father Figure, Willow Grove, PA. Charitable Organization providing guidance and support to young Student-athletes and their families. Board member - Support the organization as they reach out to Families and student athletes. and provide guidance about sports and schools which can provide the best college experience for the student based upon need. Not compensated, 1 hr/month, not investment related. 4) Rental Properties, Philadelphia, PA. Co-owner w/spouse. Not investment related, no day-to-day activities, rental income. 5) Wright-Hayre Fund, Philadelphia, PA. Donor advised fund, donate fund to children's education programs in/around Philadelphia. Board Member (01/2005) - Suggest local charitable groups that would be eligible to receive funds based on education outcomes for youths. Not compensated, 0.25 hours/month, not investment related. 6) United Negro College Fund (UNCF), Philadelphia, PA. Vice Chair/Fundraising (11/2018) - help support the fundraising efforts of UNCF. Not investment related, not compensated, 4 hrs,/month.
CRS (Client Relationship Summary) - RIA
Click below to view Reginald Wayman Wilkes SR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Reginald Wayman Wilkes SR.'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
November 22, 2017 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 40 Morris Avenue Suite 200, Bryn Mawr, PA 19010RIA
BD
CRD#: 463
Bryn Mawr, PA
Current
November 22, 2017 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 40 Morris Avenue Suite 200, Bryn Mawr, PA 19010RIA
BD
CRD#: 463
Bryn Mawr, PA
Past
February 1, 2008 - December 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAYNE, PA
Past
February 1, 2008 - December 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAYNE, PA
Past
September 17, 2007 - February 7, 2008
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
PITTSBURGH, PA
Past
September 17, 2007 - February 7, 2008
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PITTSBURGH, PA
Past
November 12, 2004 - September 17, 2007
MERCANTILE BROKERAGE SERVICES, INC.
RIA
CRD#: 6784
RADNOR, PA
Past
November 12, 2004 - September 17, 2007
MERCANTILE BROKERAGE SERVICES, INC.
BD
CRD#: 6784
RADNOR, PA
Past
June 26, 2002 - November 15, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
WAYNE, PA
Past
January 5, 1999 - November 15, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
July 20, 1988 - January 7, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(5/6/2019)
RR
California(11/22/2017)
RR
Colorado(11/22/2017)
RR
Delaware(11/22/2017)
RR
District of Columbia(11/22/2017)
RR
Florida(11/22/2017)
RR
Georgia(11/22/2017)
IAR
Georgia(11/30/2017)
RR
Illinois(11/22/2017)
RR
Indiana(11/22/2017)
RR
Iowa(2/17/2022)
RR
Kentucky(11/22/2017)
RR
Louisiana(11/22/2017)
RR
Maryland(11/22/2017)
IAR
Maryland(11/22/2017)
RR
Massachusetts(11/22/2017)
RR
Michigan(11/22/2017)
RR
Missouri(5/10/2024)
RR
Montana(5/8/2024)
RR
Nebraska(2/28/2019)
RR
New Jersey(11/22/2017)
RR
New York(11/22/2017)
RR
North Carolina(11/22/2017)
RR
Ohio(11/22/2017)
RR
Pennsylvania(11/22/2017)
IAR
Pennsylvania(11/22/2017)
RR
South Carolina(8/20/2020)
RR
Tennessee(11/22/2017)
RR
Texas(11/22/2017)
IAR
Texas(11/22/2017)
RR
Utah(11/5/2021)
RR
Virginia(11/22/2017)
RR
Washington(5/7/2024)
RR
Wisconsin(6/4/2024)
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.
