PV
Paul F. Vaida
JANNEY MONTGOMERY SCOTT LLC | Executive Vice President
Mystic, CT 06355
Some features on this profile are disabled
CRD#: 3060848
PV
Professional summary
Paul Francis Vaida, CFP®, who also goes by Paul F Vaida, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Mystic, Connecticut.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Paul has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Philanthropic services
Trading individual securities
Trust & estate planning
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
Are you a "fiduciary"?
Yes
Aliases
Paul F Vaida
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 Paul Francis Vaida's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Francis Vaida'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 6, 2016 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Willow Street Suite 101, Mystic, CT 06355Office #2: 15 N. Main Street Suite 300, West Hartford, CT 06107-2420RIA
BD
CRD#: 463
Mystic, CT
Current
October 6, 2016 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Willow Street Suite 101, Mystic, CT 06355Office #2: 15 N. Main Street Suite 300, West Hartford, CT 06107-2420RIA
BD
CRD#: 463
Mystic, CT
Past
March 8, 2006 - October 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WEST HARTFORD, CT
Past
March 8, 2006 - October 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WEST HARTFORD, CT
Past
July 26, 2001 - March 8, 2006
ADVEST, INC.
RIA
CRD#: 10
WEST HARTFORD, CT
Past
December 22, 2000 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
October 18, 2000 - December 22, 2000
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
October 11, 1999 - October 24, 2000
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
September 25, 1998 - October 5, 1999
CAPITOL SECURITIES & ASSOCIATES, INC.
BD
CRD#: 7278
GLEN ALLEN, VA
Past
May 28, 1998 - June 16, 1998
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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(11/16/2021)
RR
Arizona(10/6/2016)
RR
Arkansas(10/6/2016)
RR
California(10/6/2016)
RR
Colorado(10/6/2016)
RR
Connecticut(10/6/2016)
IAR
Connecticut(10/6/2016)
RR
Delaware(10/6/2016)
RR
District of Columbia(10/6/2016)
RR
Florida(10/6/2016)
RR
Georgia(10/6/2016)
RR
Hawaii(10/6/2016)
RR
Idaho(10/6/2016)
RR
Illinois(10/6/2016)
RR
Iowa(2/18/2022)
RR
Kansas(8/18/2025)
RR
Maine(10/6/2016)
RR
Maryland(10/6/2016)
RR
Massachusetts(10/6/2016)
RR
Michigan(10/10/2017)
RR
Minnesota(1/22/2025)
RR
Missouri(8/18/2025)
RR
Montana(4/15/2020)
RR
Nevada(4/19/2017)
RR
New Hampshire(10/6/2016)
RR
New Jersey(10/6/2016)
RR
New Mexico(4/8/2021)
RR
New York(10/6/2016)
RR
North Carolina(10/6/2016)
RR
Ohio(10/6/2016)
RR
Oklahoma(1/16/2025)
RR
Oregon(3/27/2024)
RR
Pennsylvania(10/6/2016)
RR
Rhode Island(10/6/2016)
RR
South Carolina(10/6/2016)
RR
South Dakota(10/6/2016)
RR
Tennessee(1/20/2023)
RR
Texas(10/6/2016)
IAR
Texas(10/6/2016)
RR
Utah(3/10/2021)
RR
Vermont(10/6/2016)
RR
Virginia(10/6/2016)
RR
Washington(6/12/2023)
RR
West Virginia(2/21/2024)
RR
Wisconsin(10/6/2016)
Exams
State Security Law Exam
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
Executive Vice PresidentCRD#: 463Mystic, CT 06355TRUST BUT VERIFY
Monitor Paul Vaida
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
