KS
Katherine M. Spratt
JANNEY MONTGOMERY SCOTT LLC
Saratoga Springs, NY 12866
Some features on this profile are disabled
CRD#: 2508402
KS
Professional summary
Katherine M Spratt, who also goes by Katherine Marie Dietz, Katherine M Dietz Spratt, Katherine Dietz, Katherine Marie Spratt Dietz, Katherine Marie Spratt-dietz, Katherine Marie Spratt, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Saratoga Springs, New York.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Katherine has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Marie Dietz | Katherine M Dietz Spratt | Katherine Dietz | Katherine Marie Spratt Dietz | Katherine Marie Spratt-Dietz | Katherine Marie Spratt
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Katherine M Spratt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katherine M Spratt'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
April 15, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Railroad Place Suite 405, Saratoga Springs, NY 12866RIA
BD
CRD#: 463
Saratoga Springs, NY
Current
April 15, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Railroad Place Suite 405, Saratoga Springs, NY 12866RIA
BD
CRD#: 463
Saratoga Springs, NY
Past
August 30, 2021 - April 16, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SARATOGA SPRINGS, NY
Past
August 30, 2021 - April 16, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SARATOGA SPRINGS, NY
Past
October 20, 2020 - November 24, 2020
GOLDMAN SACHS WEALTH SERVICES, L.P.
RIA
CRD#: 106693
LATHAM, NY
Past
February 11, 2020 - November 24, 2020
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
LATHAM, NY
Past
January 2, 2009 - April 13, 2010
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
JERSEY CITY, NJ
Past
April 5, 2007 - July 28, 2008
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
September 1, 2005 - May 17, 2006
FURTHER LANE SECURITIES, L.P.
BD
CRD#: 38162
NEW YORK, NY
Past
March 12, 2001 - December 5, 2003
SCHONFELD SECURITIES, LLC
BD
CRD#: 23304
JERICHO, NY
Past
November 24, 1995 - December 8, 1995
WALL STREET ACCESS
BD
CRD#: 10012
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(4/15/2025)
RR
Alaska(4/15/2025)
RR
Arizona(4/15/2025)
RR
California(4/15/2025)
RR
Colorado(4/15/2025)
RR
Connecticut(4/15/2025)
RR
Delaware(4/15/2025)
RR
District of Columbia(4/15/2025)
RR
Florida(4/15/2025)
RR
Georgia(4/15/2025)
RR
Hawaii(4/15/2025)
RR
Idaho(4/15/2025)
RR
Illinois(4/15/2025)
RR
Indiana(4/15/2025)
RR
Kansas(4/15/2025)
RR
Kentucky(4/15/2025)
RR
Louisiana(4/15/2025)
RR
Maine(4/15/2025)
RR
Maryland(4/15/2025)
RR
Massachusetts(4/15/2025)
RR
Michigan(4/15/2025)
RR
Minnesota(4/15/2025)
RR
Missouri(4/15/2025)
RR
Nevada(4/15/2025)
RR
New Hampshire(4/15/2025)
RR
New Jersey(4/15/2025)
RR
New Mexico(4/15/2025)
RR
New York(4/15/2025)
IAR
New York(4/15/2025)
RR
North Carolina(4/21/2025)
RR
Ohio(4/15/2025)
RR
Oklahoma(4/15/2025)
RR
Oregon(4/15/2025)
RR
Pennsylvania(4/15/2025)
RR
Rhode Island(4/15/2025)
RR
South Carolina(4/15/2025)
RR
South Dakota(4/15/2025)
RR
Tennessee(4/15/2025)
RR
Texas(4/15/2025)
IAR
Texas(4/15/2025)
RR
Vermont(4/15/2025)
RR
Virginia(4/15/2025)
RR
Washington(4/15/2025)
RR
Wisconsin(4/15/2025)
RR
Wyoming(4/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/11/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/16/2001
Limited Representative-Equity Trader ExamPrincipal/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.
