RR
Robert T. Rose
JANNEY MONTGOMERY SCOTT LLC
Greensboro, NC 27408
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CRD#: 1980112
RR
Professional summary
Robert Thomas Rose, AIF®, who also goes by Rob Rose, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Greensboro, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Rose
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) ECURo LLC, Greensboro, NC. LLC that invests in residential rental properties. Member\Organizer (11/2021): Purchase properties, employ and maintain property management company. Monthly rent pays to the LLC, which then services the debt and accrues net earnings. I do not receive direct comp from LLC. Not investment related, 1 hour/month. 2) Proparazzi Properties LLC, Greensboro, NC. Purchase and maintain ownership of residential rental properties. Member/Manager (03/2015) - Purchase properties, employ and maintain property management company. I keep proceeds in the LLC for expenses, future investments and debt reduction. Not Investment related, 1 hr./month. 3. St Pius X Catholic Church, Greensboro, NC. Church Finance Council (06/2023) - Reviewing financial statements, proposing annual budgets. Not compensated, not investment related, 3 hours/month. 4. The Good Nuffs, Greensboro, NC. Musician/Singer (05/2024) - band member/performer usually after hours or weekends. Compensated, not investment related, 7 hours/month. 5. Greensboro Urban Ministries Development, Greensboro, NC. Committee Member - Attend 6 meetings per year. Offer insight and advice on new and existing projects and review fund raising results. Not compensated, not investment related, 1 hour/month.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Thomas Rose's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Thomas Rose'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®
Experience
Current
December 6, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 701 Green Valley Road Suite 301, Greensboro, NC 27408RIA
BD
CRD#: 463
Greensboro, NC
Current
December 6, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 701 Green Valley Road Suite 301, Greensboro, NC 27408RIA
BD
CRD#: 463
Greensboro, NC
Past
February 17, 2021 - December 13, 2022
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
GREENSBORO, NC
Past
February 17, 2021 - December 13, 2022
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
GREENSBORO, NC
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
August 29, 2007 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
GREENSBORO, NC
Past
August 24, 2007 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
GREENSBORO, NC
Past
July 17, 2002 - August 29, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WINSTON-SALEM, NC
Past
October 1, 2000 - August 29, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WINSTON-SALEM, NC
Past
September 28, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
March 25, 1996 - September 3, 1998
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
October 2, 1990 - November 6, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
September 19, 1989 - October 15, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
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
Arizona(12/6/2022)
RR
Arkansas(7/18/2023)
RR
California(12/6/2022)
RR
Colorado(12/14/2022)
RR
Connecticut(12/6/2022)
RR
District of Columbia(12/6/2022)
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Florida(12/6/2022)
RR
Georgia(12/6/2022)
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Hawaii(12/20/2022)
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Illinois(12/15/2022)
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Indiana(7/11/2023)
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Kentucky(12/6/2022)
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Louisiana(7/13/2023)
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Maine(12/6/2022)
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Maryland(12/6/2022)
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Michigan(12/6/2022)
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Minnesota(12/14/2022)
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Mississippi(4/11/2023)
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Missouri(12/6/2022)
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Montana(12/6/2022)
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Nebraska(4/10/2023)
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Nevada(4/17/2023)
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New Jersey(12/6/2022)
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New Mexico(12/6/2022)
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New York(12/6/2022)
IAR
North Carolina(12/6/2022)
RR
North Carolina(12/13/2022)
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North Dakota(4/17/2023)
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Ohio(12/6/2022)
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Oklahoma(12/14/2022)
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Oregon(2/1/2023)
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Pennsylvania(12/6/2022)
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Puerto Rico(4/27/2023)
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Rhode Island(4/19/2023)
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South Carolina(12/6/2022)
RR
South Dakota(4/14/2023)
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Tennessee(12/6/2022)
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Texas(12/6/2022)
IAR
Texas(12/6/2022)
RR
Utah(12/6/2022)
RR
Vermont(12/6/2022)
RR
Virginia(12/15/2022)
RR
Washington(12/6/2022)
RR
Wisconsin(5/16/2023)
RR
Wyoming(1/11/2023)
Exams
State Security Law Exam
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#: 463Greensboro, NC 27408TRUST BUT VERIFY
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