KU
Kurt Uzbay
JANNEY MONTGOMERY SCOTT LLC
Hauppauge, NY 11788
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CRD#: 2490560
KU
Professional summary
Kurt Uzbay is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Hauppauge, New York.
Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kurt has worked at 7 firms and has passed the Series 63, SIE, Series 31 and Series 7 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. ROLLING STONED; BAND; GUITAR PLAYER; PLAY GUITAR IN BAND; AFFILIATION STARTED 08/01/2013; 10 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Kurt Uzbay's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kurt Uzbay'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
July 9, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 100 Motor Parkway Suite 590, Hauppauge, NY 11788RIA
BD
CRD#: 463
Hauppauge, NY
Current
July 9, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 100 Motor Parkway Suite 590, Hauppauge, NY 11788RIA
BD
CRD#: 463
Hauppauge, NY
Past
November 30, 2018 - July 11, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
MELVILLE, NY
Past
May 2, 2014 - July 11, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MELVILLE, NY
Past
June 1, 2009 - May 13, 2014
MORGAN STANLEY
BD
CRD#: 149777
MELVILLE, NY
Past
July 13, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
MELVILLE, NY
Past
October 25, 1999 - July 25, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MELVILLE, NY
Past
July 26, 1996 - November 18, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 15, 1994 - August 2, 1996
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
Arizona(7/9/2025)
RR
California(7/9/2025)
RR
Colorado(7/9/2025)
RR
Connecticut(7/9/2025)
RR
Delaware(7/9/2025)
RR
Florida(7/9/2025)
RR
Georgia(7/9/2025)
RR
Idaho(7/9/2025)
RR
Illinois(8/21/2025)
RR
Indiana(7/9/2025)
RR
Louisiana(7/9/2025)
RR
Maine(7/9/2025)
RR
Massachusetts(7/10/2025)
RR
Michigan(7/9/2025)
RR
Minnesota(7/9/2025)
RR
Missouri(7/9/2025)
RR
Montana(7/9/2025)
RR
Nevada(7/9/2025)
RR
New Jersey(7/9/2025)
RR
New York(7/9/2025)
IAR
New York(7/9/2025)
RR
North Carolina(7/14/2025)
RR
Ohio(7/9/2025)
RR
Oregon(7/9/2025)
RR
Pennsylvania(7/9/2025)
RR
South Carolina(7/9/2025)
RR
South Dakota(7/14/2025)
RR
Tennessee(7/9/2025)
RR
Texas(7/9/2025)
IAR
Texas(7/9/2025)
RR
Vermont(7/9/2025)
RR
Virginia(7/9/2025)
RR
Washington(7/9/2025)
Exams
State Security Law Exam
General Industry/Product 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.
