Christopher J. Ozazewski
JANNEY MONTGOMERY SCOTT LLC
Bel Air, MD 21014
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CRD#: 2410539
Professional summary
Christopher James Ozazewski, CFP®, who also goes by Christopher J Ozazewski, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Bel Air, Maryland.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher J Ozazewski
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.
FINRA, Washington, DC, Arbitrator; Investment Related; Duties: serving the investing public and securities industry to decide on cases; Devotes 6 hours/month; Compensated.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher James Ozazewski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher James Ozazewski'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: 2000
Experience
Current
October 17, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 116 Hays Street, Bel Air, MD 21014RIA
BD
CRD#: 463
Bel Air, MD
Current
October 17, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 116 Hays Street, Bel Air, MD 21014RIA
BD
CRD#: 463
Bel Air, MD
Past
February 20, 2009 - October 24, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BEL AIR, MD
Past
February 20, 2009 - October 24, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BEL AIR, MD
Past
February 21, 2006 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BEL AIR, MD
Past
February 21, 2006 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BEL AIR, MD
Past
June 18, 1996 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
BEL AIR, MD
Past
March 10, 1995 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BEL AIR, MD
Past
February 13, 1995 - March 22, 1995
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
December 13, 1993 - December 7, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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
Alabama(6/16/2021)
RR
Arizona(5/24/2021)
RR
California(10/17/2019)
RR
Colorado(10/17/2019)
RR
Connecticut(10/17/2019)
RR
Delaware(10/17/2019)
RR
District of Columbia(10/17/2019)
RR
Florida(10/17/2019)
RR
Georgia(10/17/2019)
RR
Illinois(10/17/2019)
RR
Kansas(4/18/2023)
RR
Louisiana(5/6/2025)
RR
Maine(10/17/2019)
RR
Maryland(10/17/2019)
IAR
Maryland(10/17/2019)
RR
Massachusetts(10/17/2019)
RR
Minnesota(10/17/2019)
RR
Mississippi(4/30/2020)
RR
New Jersey(10/17/2019)
RR
New Mexico(4/7/2025)
RR
New York(10/17/2019)
RR
North Carolina(10/17/2019)
RR
Ohio(10/17/2019)
RR
Oregon(1/13/2020)
RR
Pennsylvania(10/17/2019)
RR
South Carolina(10/17/2019)
RR
Tennessee(10/17/2019)
RR
Texas(10/17/2019)
IAR
Texas(10/17/2019)
RR
Virgin Islands(10/17/2019)
RR
Virginia(10/17/2019)
RR
West Virginia(10/17/2019)
RR
Wyoming(10/17/2019)
Exams
State Security Law Exam
State Security Law 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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Bel Air, MD 21014TRUST BUT VERIFY
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