JE
James M. Elliott
JANNEY MONTGOMERY SCOTT LLC
Mystic, CT 06355
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CRD#: 2276124
JE
Professional summary
James Murray Elliott, who also goes by Jim Murray Elliott, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Mystic, Connecticut.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Murray Elliott
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.
Kingston Congregational Church, Kingston, RI. Endowment Committee Member (04/2008) - provide insight and suggestions for the manager of the endowment fund. Not compensated, not investment related, 1 hour/month.
CRS (Client Relationship Summary) - RIA
Click below to view James Murray Elliott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Murray Elliott'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
November 20, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Willow Street Suite 101, Mystic, CT 06355Office #2: 1551 Boston Post Road 2nd Floor, Westbrook, CT 06498RIA
BD
CRD#: 463
Mystic, CT
Current
November 20, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Willow Street Suite 101, Mystic, CT 06355Office #2: 1551 Boston Post Road 2nd Floor, Westbrook, CT 06498RIA
BD
CRD#: 463
Mystic, CT
Past
October 20, 2016 - November 20, 2024
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
MYSTIC, CT
Past
October 19, 2016 - November 20, 2024
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
MYSTIC, CT
Past
August 1, 2012 - October 13, 2016
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
NORTH KINGSTOWN, RI
Past
August 1, 2012 - October 13, 2016
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
NORTH KINGSTOWN, RI
Past
March 2, 2007 - August 1, 2012
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
WAKEFIELD, RI
Past
March 2, 2007 - August 1, 2012
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
WAKEFIELD, RI
Past
June 13, 2003 - February 27, 2007
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
WESTERLY, RI
Past
June 13, 2003 - February 27, 2007
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WESTERLY, RI
Past
December 4, 2002 - June 10, 2003
QUICK & REILLY, INC.
RIA
CRD#: 11217
PROVIDENCE, RI
Past
September 25, 2000 - June 10, 2003
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
August 1, 1996 - September 25, 2000
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
January 2, 1996 - August 1, 1996
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
October 24, 1995 - December 31, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
Past
September 23, 1992 - October 27, 1995
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 23, 1992 - October 27, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(5/7/2025)
RR
Connecticut(11/20/2024)
IAR
Connecticut(11/20/2024)
RR
Florida(11/20/2024)
RR
Georgia(5/7/2025)
RR
Illinois(5/7/2025)
RR
Indiana(5/7/2025)
RR
Maine(11/20/2024)
RR
Massachusetts(11/20/2024)
RR
Michigan(11/20/2024)
RR
New Hampshire(11/20/2024)
RR
New York(5/7/2025)
RR
North Carolina(11/25/2024)
RR
Pennsylvania(5/7/2025)
RR
Rhode Island(11/20/2024)
IAR
Rhode Island(11/22/2024)
RR
South Carolina(11/20/2024)
RR
Texas(11/20/2024)
IAR
Texas(11/20/2024)
RR
Vermont(11/20/2024)
RR
Virginia(5/7/2025)
RR
Wyoming(5/7/2025)
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#: 463Mystic, CT 06355TRUST BUT VERIFY
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