DJ
Deborah L. Jones
JANNEY MONTGOMERY SCOTT LLC
Washington, DC 20037-1102
Some features on this profile are disabled
CRD#: 2204366
DJ
Professional summary
Deborah Liane Jones, AIF®, who also goes by Liane Jones, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Washington, District Of Columbia.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Deborah has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Liane Jones
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 Deborah Liane Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Deborah Liane Jones'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
September 17, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1255 23rd Street Nw Suite 810, Washington, DC 20037-1102RIA
BD
CRD#: 463
Washington, DC
Current
August 24, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1255 23rd Street Nw Suite 810, Washington, DC 20037-1102RIA
BD
CRD#: 463
Washington, DC
Past
June 1, 2009 - September 14, 2009
MORGAN STANLEY
RIA
CRD#: 149777
WASHINGTON, DC
Past
June 1, 2009 - September 14, 2009
MORGAN STANLEY
BD
CRD#: 149777
WASHINGTON, DC
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WASHINGTON, DC
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WASHINGTON, DC
Past
September 27, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
WASHINGTON, DC
Past
May 15, 2002 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
January 13, 2001 - November 26, 2001
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
June 12, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
December 14, 1993 - May 21, 1996
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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(8/24/2009)
RR
Alaska(8/24/2009)
RR
Arizona(10/24/2024)
RR
California(8/24/2009)
IAR
California(1/19/2010)
RR
Colorado(8/24/2009)
RR
Connecticut(7/19/2018)
RR
Delaware(8/24/2009)
RR
District of Columbia(8/24/2009)
IAR
District of Columbia(9/17/2009)
RR
Florida(8/24/2009)
IAR
Florida(12/2/2020)
RR
Georgia(8/24/2009)
RR
Illinois(8/9/2021)
RR
Iowa(12/1/2020)
RR
Kentucky(11/16/2023)
RR
Louisiana(8/24/2009)
RR
Maine(11/16/2021)
RR
Maryland(8/24/2009)
RR
Massachusetts(6/12/2017)
RR
Michigan(1/9/2019)
RR
Missouri(12/4/2019)
RR
Montana(8/24/2009)
RR
Nebraska(12/1/2020)
RR
Nevada(12/1/2020)
RR
New Hampshire(8/24/2009)
RR
New Jersey(8/24/2009)
RR
New Mexico(7/8/2021)
RR
New York(8/24/2009)
RR
North Carolina(8/24/2009)
IAR
North Carolina(1/27/2010)
RR
Ohio(2/2/2022)
RR
Oklahoma(5/17/2022)
RR
Oregon(5/14/2014)
RR
Pennsylvania(8/24/2009)
RR
Rhode Island(1/16/2025)
RR
South Carolina(8/24/2009)
RR
Tennessee(10/9/2023)
RR
Texas(8/24/2009)
IAR
Texas(12/20/2013)
RR
Utah(8/2/2022)
RR
Vermont(8/24/2009)
RR
Virginia(8/24/2009)
IAR
Virginia(12/20/2013)
RR
West Virginia(8/24/2009)
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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Washington, DC 20037-1102TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
