TB
Todd D. Bernstein
JANNEY MONTGOMERY SCOTT LLC
PONTE VEDRA BEACH, FL 32082-3298
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CRD#: 2163286
TB
Professional summary
Todd David Bernstein is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Ponte Vedra Beach, Florida.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Todd has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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 Todd David Bernstein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Todd David Bernstein'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
April 27, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 814 North Highway A1a Suite 203, Ponte Vedra Beach, FL 32082-3298RIA
BD
CRD#: 463
PONTE VEDRA BEACH, FL
Current
April 24, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 814 North Highway A1a Suite 203, Ponte Vedra Beach, FL 32082-3298RIA
BD
CRD#: 463
PONTE VEDRA BEACH, FL
Past
December 16, 2013 - May 13, 2020
BB&T SECURITIES, LLC
RIA
CRD#: 142785
PONTE VEDRA BEACH, FL
Past
December 6, 2013 - May 13, 2020
BB&T SECURITIES, LLC
BD
CRD#: 142785
PONTE VEDRA BEACH, FL
Past
June 19, 2006 - December 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PONTE VEDRA BEACH, FL
Past
June 16, 2006 - December 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PONTE VEDRA BEACH, FL
Past
December 6, 2005 - June 30, 2006
RYAN BECK & CO.
RIA
CRD#: 3248
JACKSONVILLE, FL
Past
December 2, 2005 - June 30, 2006
RYAN BECK & CO.
BD
CRD#: 3248
JACKSONVILLE, FL
Past
April 7, 2003 - December 19, 2005
ADVEST, INC.
RIA
CRD#: 10
PONTE VEDRA, FL
Past
November 9, 2001 - December 19, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
October 3, 1996 - November 13, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 17, 1995 - September 26, 1996
BARNETT INVESTMENTS, INC.
BD
CRD#: 14897
JACKSONVILLE, FL
Past
November 12, 1992 - March 15, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
October 8, 1992 - October 30, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
January 15, 1992 - October 16, 1992
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
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(4/24/2020)
RR
Arizona(6/2/2022)
RR
California(4/24/2020)
RR
Connecticut(4/24/2020)
RR
Florida(4/24/2020)
IAR
Florida(4/27/2020)
RR
Georgia(4/24/2020)
RR
Indiana(6/20/2023)
RR
Kansas(6/2/2022)
RR
Maryland(4/24/2020)
RR
New Jersey(4/24/2020)
RR
New York(4/24/2020)
RR
North Carolina(5/13/2020)
RR
Pennsylvania(4/24/2020)
RR
South Carolina(4/24/2020)
RR
Tennessee(2/12/2024)
RR
Virginia(4/24/2020)
RR
West Virginia(4/24/2020)
Exams
State Security Law Exam
State Security Law Exam
General 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 | |
| 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#: 463Ponte Vedra Beach, FL 32082-3298TRUST BUT VERIFY
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