CS
Christopher T. Smith
JANNEY MONTGOMERY SCOTT LLC
COLUMBIA, SC 29201
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CRD#: 2769461
CS
Professional summary
Christopher Thomas Smith, AIF®, who also goes by Chris Smith, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Columbia, South Carolina.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Smith
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) AC Flora High School, Columbia, SC; Not Investment Related; Nature: Education Institution; Position: Part Time Assistant Tennis Coach; Devotes 15-hrs/month; Compensated.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Thomas Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Thomas Smith'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®
Experience
Current
June 10, 2013 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1441 Main Street Suite 700, Columbia, SC 29201RIA
BD
CRD#: 463
COLUMBIA, SC
Current
June 7, 2013 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1441 Main Street Suite 700, Columbia, SC 29201RIA
BD
CRD#: 463
COLUMBIA, SC
Past
July 13, 2006 - June 11, 2013
STEPHENS
RIA
CRD#: 3496
COLUMBIA, SC
Past
July 13, 2006 - June 11, 2013
STEPHENS
BD
CRD#: 3496
COLUMBIA, SC
Past
February 21, 2006 - July 18, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
COLUMBIA, SC
Past
February 21, 2006 - July 18, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
COLUMBIA, SC
Past
October 23, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
COLUMBIA, SC
Past
September 12, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
January 9, 2001 - September 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SPARTANBURG, SC
Past
June 29, 1999 - September 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 8, 1997 - July 2, 1999
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
March 5, 1997 - May 13, 1997
EISNER SECURITIES, INC.
BD
CRD#: 40585
ST. LOUIS, MO
Past
July 26, 1996 - March 5, 1997
CENTENNIAL CAPITAL MANAGEMENT, INC.
BD
CRD#: 38988
ATLANTA, GA
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(6/7/2013)
RR
Alaska(1/20/2017)
RR
California(6/1/2017)
RR
Colorado(6/7/2013)
RR
Florida(6/7/2013)
RR
Georgia(6/7/2013)
RR
Hawaii(3/11/2021)
RR
Illinois(12/13/2017)
RR
Iowa(12/3/2020)
RR
Louisiana(6/1/2017)
RR
Maryland(6/7/2013)
RR
Massachusetts(6/7/2013)
RR
Minnesota(9/25/2017)
RR
New Hampshire(9/12/2024)
RR
New York(6/7/2013)
RR
North Carolina(6/7/2013)
IAR
North Carolina(7/19/2013)
RR
North Dakota(9/26/2023)
RR
Ohio(6/7/2013)
RR
Oklahoma(6/1/2017)
RR
Pennsylvania(6/7/2013)
RR
South Carolina(6/7/2013)
IAR
South Carolina(6/10/2013)
RR
Tennessee(6/7/2013)
RR
Texas(6/7/2013)
IAR
Texas(11/13/2017)
RR
Utah(7/25/2019)
RR
Virginia(6/7/2013)
RR
Washington(6/7/2013)
RR
West Virginia(6/10/2022)
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#: 463Columbia, SC 29201TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
