AR
Amy R. Raisman
JANNEY MONTGOMERY SCOTT LLC
Ft. Lauderdale, FL 33301
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CRD#: 2332663
AR
Professional summary
Amy Robin Raisman, who also goes by Amy Robin Raisman, Amy Robin Schnell, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Ft. Lauderdale, Florida.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Amy has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Robin Raisman | Amy Robin Schnell
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 Amy Robin Raisman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Robin Raisman'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 30, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 200 Sw First Avenue Suite 900, Ft. Lauderdale, FL 33301RIA
BD
CRD#: 463
Ft. Lauderdale, FL
Current
November 25, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 200 Sw First Avenue Suite 900, Ft. Lauderdale, FL 33301RIA
BD
CRD#: 463
Ft. Lauderdale, FL
Past
March 21, 2016 - December 8, 2020
BB&T SECURITIES, LLC
RIA
CRD#: 142785
FT LAUDERDALE, FL
Past
March 9, 2016 - December 8, 2020
BB&T SECURITIES, LLC
BD
CRD#: 142785
FT LAUDERDALE, FL
Past
May 13, 2009 - March 17, 2016
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
CORAL SPRINGS, FL
Past
March 25, 2009 - March 17, 2016
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CORAL SPRINGS, FL
Past
September 20, 2005 - April 3, 2009
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
CORAL SPRINGS, FL
Past
September 19, 2005 - April 3, 2009
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
CORAL SPRINGS, FL
Past
February 16, 2005 - September 20, 2005
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
CORAL SPRINGS, FL
Past
January 7, 2005 - September 20, 2005
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
July 20, 1995 - January 11, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PLANTATION, FL
Past
July 20, 1995 - January 11, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
July 13, 1993 - July 26, 1995
BARNETT INVESTMENTS, INC.
BD
CRD#: 14897
JACKSONVILLE, FL
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(11/25/2020)
RR
California(11/25/2020)
RR
Colorado(6/7/2022)
RR
Connecticut(11/25/2020)
RR
Florida(11/25/2020)
IAR
Florida(11/30/2020)
RR
Georgia(11/25/2020)
IAR
Georgia(3/9/2021)
RR
Idaho(8/9/2021)
RR
Illinois(11/5/2025)
RR
Kentucky(11/25/2020)
RR
Maryland(11/25/2020)
RR
Massachusetts(6/6/2025)
RR
Nevada(8/31/2022)
RR
New Hampshire(1/25/2021)
RR
New Jersey(11/25/2020)
RR
New York(11/25/2020)
IAR
New York(4/8/2021)
RR
North Carolina(12/8/2020)
IAR
North Carolina(11/17/2022)
RR
Ohio(7/22/2024)
RR
Oregon(10/30/2025)
RR
Pennsylvania(12/5/2023)
RR
South Carolina(11/25/2020)
IAR
South Carolina(3/10/2021)
RR
Tennessee(11/25/2020)
RR
Texas(11/25/2020)
IAR
Texas(2/26/2021)
RR
Vermont(10/30/2025)
RR
Virginia(11/25/2020)
RR
Washington(7/8/2025)
Exams
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#: 463Ft. Lauderdale, FL 33301TRUST BUT VERIFY
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