RS
Ronald L. Shaw
JANNEY MONTGOMERY SCOTT LLC
BOSTON, MA 02109-1803
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CRD#: 1918080
RS
Professional summary
Ronald Lee Shaw is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Boston, Massachusetts.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Ronald has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Lee Shaw's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Lee Shaw'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 3, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 State Street Suite 1350, Boston, MA 02109-1803RIA
BD
CRD#: 463
BOSTON, MA
Current
August 3, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 State Street Suite 1350, Boston, MA 02109-1803RIA
BD
CRD#: 463
BOSTON, MA
Past
December 2, 2019 - August 17, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BOSTON, MA
Past
December 2, 2019 - August 17, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOSTON, MA
Past
October 23, 2009 - November 20, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WELLESLEY HILLS, MA
Past
October 23, 2009 - November 20, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WELLESLEY HILLS, MA
Past
January 7, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BURLINGTON, MA
Past
April 22, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BURLINGTON, MA
Past
May 5, 2000 - January 18, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DANVERS, MA
Past
May 20, 1998 - January 21, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 26, 1995 - February 6, 1998
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 8, 1990 - April 17, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 22, 1989 - January 6, 1990
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
February 14, 1989 - March 2, 1989
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
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
California(8/3/2022)
RR
Colorado(8/3/2022)
RR
Connecticut(8/3/2022)
IAR
Connecticut(8/3/2022)
RR
Florida(8/3/2022)
RR
Georgia(8/3/2022)
RR
Illinois(8/3/2022)
RR
Maine(8/3/2022)
RR
Maryland(8/3/2022)
RR
Massachusetts(8/3/2022)
IAR
Massachusetts(8/8/2022)
RR
Minnesota(8/3/2022)
RR
New Hampshire(8/3/2022)
RR
New Jersey(8/3/2022)
RR
New York(8/3/2022)
RR
North Carolina(8/19/2022)
RR
Oregon(8/3/2022)
RR
Pennsylvania(8/3/2022)
RR
Rhode Island(8/3/2022)
RR
Texas(8/3/2022)
IAR
Texas(8/3/2022)
RR
Vermont(8/3/2022)
RR
Virginia(8/3/2022)
RR
Washington(8/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 463Boston, MA 02109-1803TRUST BUT VERIFY
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