JS
Jeffrey J. Smith
JANNEY MONTGOMERY SCOTT LLC
Lutherville (greenspring), MD 21093
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CRD#: 2083684
JS
Professional summary
Jeffrey Joseph Smith, ChFC®, CLU®, who also goes by Jeff Smith, Jeffrey J Smith, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Lutherville (greenspring), Maryland.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Jeffrey has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Smith | Jeffrey J Smith
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.
Urbana HS Choral Boosters, 3471 Campus Drive, Maryland; Not investment related; Position/title: Treasurer; Duties: Manage books, oversee bills payments, taxes and checking acct for High School Chorus; Start 06/2013; Devotes 5 hours a month and 0 during trading; Not compensated.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Joseph Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Joseph Smith'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
August 6, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 2328 W. Joppa Road Suite 100, Lutherville (greenspring), MD 21093Office #2: 40 Wight Avenue Suite 510, Hunt Valley, MD 21030RIA
BD
CRD#: 463
Lutherville (greenspring), MD
Current
August 6, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 2328 W. Joppa Road Suite 100, Lutherville (greenspring), MD 21093Office #2: 40 Wight Avenue Suite 510, Hunt Valley, MD 21030RIA
BD
CRD#: 463
Lutherville (greenspring), MD
Past
June 1, 2009 - August 16, 2012
MORGAN STANLEY
RIA
CRD#: 149777
ALEXANDRIA, VA
Past
June 1, 2009 - August 16, 2012
MORGAN STANLEY
BD
CRD#: 149777
ALEXANDRIA, VA
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ALEXANDRIA, VA
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ALEXANDRIA, VA
Past
February 24, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
MCLEAN, VA
Past
February 19, 2004 - February 25, 2004
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
GREENSBORO, NC
Past
February 19, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
MCLEAN, VA
Past
February 17, 2004 - February 25, 2004
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
RICHMOND, VA
Past
February 5, 1999 - February 11, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WINSTON-SALEM, NC
Past
January 8, 1999 - February 11, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
September 23, 1994 - January 21, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 19, 1990 - October 7, 1994
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
Alaska(8/6/2012)
RR
Arkansas(12/9/2021)
RR
California(8/6/2012)
RR
Colorado(8/6/2012)
RR
Connecticut(8/6/2012)
RR
Delaware(8/6/2012)
RR
District of Columbia(8/6/2012)
IAR
District of Columbia(9/17/2013)
RR
Florida(8/6/2012)
RR
Georgia(8/13/2012)
RR
Illinois(8/6/2012)
RR
Indiana(12/9/2021)
RR
Kansas(8/6/2012)
RR
Kentucky(12/9/2021)
RR
Maine(8/6/2012)
RR
Maryland(8/6/2012)
IAR
Maryland(8/6/2012)
RR
Massachusetts(8/6/2012)
RR
Michigan(8/6/2012)
RR
Minnesota(12/9/2021)
RR
Mississippi(12/9/2021)
RR
Missouri(8/6/2012)
RR
Montana(7/31/2013)
RR
Nebraska(8/6/2012)
RR
Nevada(12/9/2021)
RR
New Jersey(8/6/2012)
RR
New Mexico(12/9/2021)
RR
New York(8/6/2012)
RR
North Carolina(8/6/2012)
RR
North Dakota(12/9/2021)
RR
Oklahoma(8/6/2012)
RR
Oregon(7/17/2015)
RR
Pennsylvania(8/6/2012)
RR
Puerto Rico(12/9/2021)
RR
Rhode Island(8/6/2012)
RR
South Carolina(8/6/2012)
RR
South Dakota(12/9/2021)
RR
Texas(8/6/2012)
RR
Utah(8/6/2012)
RR
Vermont(12/9/2021)
RR
Virginia(8/6/2012)
IAR
Virginia(8/6/2012)
RR
Washington(12/9/2021)
RR
West Virginia(8/6/2012)
RR
Wisconsin(12/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
