ST
Scott A. Trevethan
JANNEY MONTGOMERY SCOTT LLC
Westbrook, CT 06498
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CRD#: 2333572
ST
Professional summary
Scott Andrew Trevethan is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Westbrook, Connecticut.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53, Series 4, Series 24 and Series 8 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.
1) Self-Employed Tennis Instructor (Trevethan Tennis Instruction); I teach tennis lessons part time; Berlin, CT ; start date 1/01/1993; I am contracted; 2hrs/month; I work outside at various public courts and don't often use a private facility. This is a contracted businesses. I am not an employee; not investment-related. 2) Professional Pickleball Player; Berlin, CT. Play in Pickleball tournaments that have prize money attached to results, 10 hrs./month, Not Investment Related. 3) Professional Pickleball League, Berlin, CT. Team Owner: Professional pickleball league for seniors (50+ years old), give input on team creation involving logos, branding and picking of the 20 players to represent the team for 2023. Not investment related, 3 hrs./month, tournaments that have prize money attached to results. 4) Team Ignite LLC DBA Austin Ignite, Berlin, CT. Ownership stake-Formed professional pickleball league. Not compensated, not investment related, 1 hour/month. 5) T-COP Foundation, East Berlin, CT; Nature: Family Non-Profit Foundation; Position/Title: Secretary; Duties: I serve as secretary to a family foundation created from the passing of my cousin's 15-year-old son. The proceeds are used to help local families and the Berlin Community where we live; Devotes 2 hrs./mo.; Not compensated. 6) Trevethan Holdings, LLC, Berlin, CT. Pickleball team ownership and instruction (08/2023) - LLC holds ownership interest in the Professional pickle team owned and any pickleball instructions provided. Compensated, 3 hours/month, not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Andrew Trevethan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Andrew Trevethan'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
March 27, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1551 Boston Post Road 2nd Floor, Westbrook, CT 06498Office #2: 180 Glastonbury Blvd. Suite 302, Glastonbury, CT 06033RIA
BD
CRD#: 463
Westbrook, CT
Current
March 27, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1551 Boston Post Road 2nd Floor, Westbrook, CT 06498Office #2: 180 Glastonbury Blvd. Suite 302, Glastonbury, CT 06033RIA
BD
CRD#: 463
Westbrook, CT
Past
December 2, 2009 - March 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GLASTONBURY, CT
Past
November 19, 2009 - March 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GLASTONBURY, CT
Past
May 3, 2007 - July 29, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FARMINGTON, CT
Past
January 3, 2007 - April 11, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
EAST HARTFORD, CT
Past
January 3, 2007 - April 11, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
EAST HARTFORD, CT
Past
April 21, 2006 - July 25, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIDDLETOWN, CT
Past
April 21, 2006 - July 25, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIDDLETOWN, CT
Past
January 6, 1999 - March 8, 2006
ADVEST, INC.
RIA
CRD#: 10
HARTFORD, CT
Past
December 12, 1994 - March 8, 2006
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
Alaska(12/7/2021)
RR
Arizona(8/13/2019)
RR
California(3/27/2019)
RR
Colorado(3/27/2019)
RR
Connecticut(3/27/2019)
IAR
Connecticut(3/27/2019)
RR
Delaware(3/27/2019)
RR
District of Columbia(4/13/2023)
RR
Florida(3/27/2019)
RR
Georgia(6/2/2021)
RR
Hawaii(4/19/2021)
RR
Illinois(12/2/2020)
RR
Maine(3/27/2019)
RR
Maryland(1/3/2022)
RR
Massachusetts(3/27/2019)
RR
New Hampshire(3/27/2019)
RR
New Jersey(3/27/2019)
RR
New Mexico(7/28/2023)
RR
New York(3/27/2019)
RR
North Carolina(3/27/2019)
RR
Ohio(3/27/2019)
RR
Pennsylvania(3/27/2019)
RR
Puerto Rico(12/12/2019)
RR
Rhode Island(3/27/2019)
RR
South Carolina(3/27/2019)
RR
Texas(11/8/2024)
IAR
Texas(11/10/2024)
RR
Virgin Islands(3/27/2019)
RR
Virginia(3/27/2019)
RR
Wisconsin(2/22/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/20/1995
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.
