WP
Wesley A. Pritchett
JANNEY MONTGOMERY SCOTT LLC
ATLANTA, GA 30326
Some features on this profile are disabled
CRD#: 2351025
WP
Professional summary
Wesley Andrew Pritchett is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Atlanta, Georgia.
Wesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Wesley has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 4, Series 30 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. Holtz Heroes, Fishers, IN. Charity to help ex Notre Dame football players and their families in tough times. Board Member on the Finance Committee (01/2011): Meet semi-annual to discuss mission, raising money and helping former players and their loved ones. Not investment related, not compensated, 1 hr./month. 2. Irish Angela, Chicago, IL. Not for profit corporation promoting start-up entities and other business ventures. Member - have the ability to observe companies as they present. Not investment related, not compensated, 1 hour/month. 3. Under the Golden Dome, Atlanta, GA. Podcast Co-Host (08/2024) - discuss college football. Not investment related, not compensated, 4 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Wesley Andrew Pritchett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wesley Andrew Pritchett'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
January 17, 2023 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326RIA
BD
CRD#: 463
ATLANTA, GA
Current
January 17, 2023 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326RIA
BD
CRD#: 463
ATLANTA, GA
Past
September 13, 2019 - February 14, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ALPHARETTA, GA
Past
September 13, 2019 - February 14, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ALPHARETTA, GA
Past
March 24, 2016 - September 18, 2019
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
ATLANTA, GA
Past
October 28, 2013 - September 18, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
ATLANTA, GA
Past
May 17, 2011 - October 28, 2013
LPE SECURITIES, LLC
BD
CRD#: 117851
ATLANTA, GA
Past
January 6, 2011 - May 10, 2011
INSPEREX LLC
BD
CRD#: 101420
BOCA RATON, FL
Past
May 27, 2010 - December 14, 2010
GFI SECURITIES LLC
BD
CRD#: 19982
CHARLESTON, SC
Past
January 21, 2009 - June 2, 2010
MIDSOUTH CAPITAL, INC.
BD
CRD#: 35039
CHARLESTON, SC
Past
June 14, 2005 - August 8, 2008
COUNTRYWIDE SECURITIES CORPORATION
BD
CRD#: 10598
ATLANTA, GA
Past
July 18, 2000 - June 21, 2005
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 28, 1995 - July 19, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 28, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
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(1/17/2023)
RR
Colorado(2/26/2025)
RR
District of Columbia(5/6/2024)
RR
Florida(1/17/2023)
RR
Georgia(1/17/2023)
IAR
Georgia(1/19/2023)
RR
Illinois(1/25/2023)
RR
Indiana(1/17/2023)
RR
Iowa(5/6/2024)
RR
Kentucky(1/17/2023)
RR
Louisiana(5/8/2024)
RR
Massachusetts(1/17/2023)
RR
Missouri(1/17/2023)
RR
Montana(1/17/2023)
RR
New Jersey(5/6/2024)
RR
New York(1/17/2023)
RR
North Carolina(2/23/2023)
RR
Ohio(5/6/2024)
RR
South Carolina(1/17/2023)
RR
Tennessee(1/17/2023)
RR
Texas(1/17/2023)
IAR
Texas(1/17/2023)
RR
Virginia(1/17/2023)
RR
Washington(1/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/31/1997
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.
