RM
Richard W. Morrow
JANNEY MONTGOMERY SCOTT LLC
Charlotte, NC 28211
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CRD#: 2377806
RM
Professional summary
Richard William Morrow, CFP® is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Charlotte, North Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Investment Planning
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) BSA Scouting, Charlotte, NC; Not Investment Related; Nature: Youth Leadership Development; Title/Position: Unit Training Chair; Duties: I help advance the training and certification for adults assisting Troop 11 and Troop 111. I give input and vote on matters related to Troop 11 and Troop 111; Devotes 8 hrs/mnth; Not compensated. 2) Hound Ears Club, Boone, NC; Not Investment Related; Nature: Golf and Social Club; Title/Position: Finance Committee Member; Duties: Review and make recommendations to the Hound Ears Board of Directors on financial policies and recommendations. Not compensated, 5 hrs./month, not investment related. 3) Hound Ears Club, Boone, NC; Golf and Social Club. Board Member: Review and vote on committee proposals to advance the interest of Hound Ears Club and its members. Not compensated, 4 hrs./Month, not Investment Related, October 2022. 4) Hound Ears Club, Boone, NC. Chair of the Sports Committee: Review policies and make recommendations to the Hound Ears Board of Directors related to sporting activities within the club including fitness center and racquet sports. Not compensated, 5 hrs./month, 01/20/23. 5) Hound Ears Club, Boone, NC. Treasurer/Finance Committee Chair - Review and make recommendations to the Hound Ears Board of Directors on financial policies and recommendations. Not Compensated, not investment related, 5 hours/month. 6. Hound Ears Club, Boone, NC. House Infrastructure and Decor Committee Chair (05/2024) - Review and make recommendations to the Hound Ears Board of Directors on infrastructure and decor matters related to the Clubhouse, Tee House, Pool. Not investment related, not compensated, 5 hours/month. 7. Hound Ears Club, Bonne, NC. Country Club President (03/2016) - oversee the Boards supervision of the General Manager of the Club, the affairs of the Club and preside at all meetings of the Board and of the Members. Not compensated, not investment related, 8 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Richard William Morrow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard William Morrow'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®
CFP®
Start date: 2006
Experience
Current
May 20, 2021 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Current
May 20, 2021 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Past
February 24, 2004 - May 25, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
February 23, 2004 - May 25, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
March 18, 1997 - February 20, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CLEARWATER, FL
Past
August 20, 1993 - February 20, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Colorado(5/20/2021)
RR
Connecticut(5/20/2021)
RR
Florida(5/20/2021)
RR
Georgia(5/20/2021)
RR
Illinois(5/20/2021)
RR
Indiana(6/6/2025)
RR
Kentucky(5/20/2021)
RR
Louisiana(5/20/2021)
RR
Maryland(5/20/2021)
RR
Massachusetts(5/20/2021)
RR
Michigan(5/20/2021)
RR
New Hampshire(5/20/2021)
RR
New Jersey(5/20/2021)
IAR
North Carolina(5/20/2021)
RR
North Carolina(5/26/2021)
RR
Ohio(5/20/2021)
RR
Oklahoma(5/20/2021)
RR
Oregon(5/20/2021)
RR
Pennsylvania(5/20/2021)
RR
South Carolina(5/20/2021)
RR
Texas(5/20/2021)
IAR
Texas(3/22/2023)
RR
Virginia(5/20/2021)
RR
Wisconsin(5/20/2021)
RR
Wyoming(5/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
