Timothy J. Ratty

JANNEY MONTGOMERY SCOTT LLC

Naples, FL 34103

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CRD#: 3099842

Professional summary

Timothy James Ratty is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Naples, Florida.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Timothy has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 31, SIE, Series 3, Series 7, Series 10 and Series 9 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. Florida Securities Dealer Associate, Jupiter, FL. Member/Volunteer (01/2024) for the Elder Fraud Committee. Contribute to the advocacy, education and collaboration of financial professionals in Florida benefiting the communities. Not compensated, 4 hours/month, not investment related. 2. Trustbridge Hospice Foundation, Boca Raton, FL. Committee Volunteer (02/2025) - Event organizing, securing auction item donations. Not compensated, not investment related, 3 hours/month,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy James Ratty's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Timothy James Ratty's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 17, 2020 - Present

JANNEY MONTGOMERY SCOTT LLC

Office #1: 850 Park Shore Drive Suite 101, Naples, FL 34103Office #2: 2385 Nw Executive Center Drive Suite 200, Boca Raton, FL 33431

RIA

CRD#: 463

Naples, FL

Current

July 17, 2020 - Present

JANNEY MONTGOMERY SCOTT LLC

Office #1: 850 Park Shore Drive Suite 101, Naples, FL 34103Office #2: 2385 Nw Executive Center Drive Suite 200, Boca Raton, FL 33431

RIA

CRD#: 463

Naples, FL

Past

March 14, 2019 - April 3, 2020

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Boca Raton, FL

Past

March 1, 2019 - April 3, 2020

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

BOCA RATON, FL

Past

December 17, 2009 - July 27, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WEST PALM BEACH, FL

Past

October 19, 2009 - July 27, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WEST PALM BEACH, FL

Past

June 1, 2009 - November 11, 2009

MORGAN STANLEY

CRD#: 149777

PLANTATION, FL

Past

May 29, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PLANTATION, FL

Past

May 16, 2003 - May 19, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ROCKAWAY, NY

Past

September 9, 1998 - May 19, 2003

MORGAN STANLEY DW INC.

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)

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.

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

Alabama
(7/17/2020)

Alaska
(7/17/2020)

Arizona
(7/17/2020)

Arkansas
(7/17/2020)

California
(7/17/2020)

Colorado
(7/17/2020)

Connecticut
(7/17/2020)

Delaware
(7/17/2020)

District of Columbia
(7/17/2020)

Florida
(7/17/2020)

IAR

Florida
(7/20/2020)

Georgia
(7/17/2020)

Hawaii
(7/17/2020)

Idaho
(7/17/2020)

Illinois
(7/17/2020)

Indiana
(7/17/2020)

Iowa
(7/17/2020)

Kansas
(7/17/2020)

Kentucky
(7/17/2020)

Louisiana
(7/17/2020)

Maine
(7/17/2020)

Maryland
(7/17/2020)

Massachusetts
(7/17/2020)

Michigan
(7/17/2020)

Minnesota
(7/17/2020)

Mississippi
(7/17/2020)

Missouri
(7/17/2020)

Montana
(7/17/2020)

Nebraska
(7/17/2020)

Nevada
(7/17/2020)

New Hampshire
(7/17/2020)

New Jersey
(7/17/2020)

New Mexico
(7/17/2020)

New York
(7/17/2020)

North Carolina
(7/20/2020)

North Dakota
(7/17/2020)

Ohio
(7/17/2020)

Oklahoma
(7/17/2020)

Oregon
(7/17/2020)

Pennsylvania
(7/17/2020)

Puerto Rico
(7/17/2020)

Rhode Island
(7/17/2020)

South Carolina
(7/17/2020)

South Dakota
(7/17/2020)

Tennessee
(7/17/2020)

Texas
(7/17/2020)

IAR

Texas
(7/17/2020)

Utah
(7/17/2020)

Vermont
(7/17/2020)

Virgin Islands
(7/17/2020)

Virginia
(7/17/2020)

Washington
(7/17/2020)

West Virginia
(7/17/2020)

Wisconsin
(7/17/2020)

Wyoming
(7/17/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/14/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/30/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 9/1/2021

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 7/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/12/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/8/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/25/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/23/2001

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JANNEY MONTGOMERY SCOTT WRAP FEE DISCLOSURE BROCHURE (10/3/2025)

JANNEY MONTGOMERY SCOTT INVESTMENT MANAGEMENT DISCLOSURE BROCHURE (10/3/2025)

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	Cover Page	Report
03/21/2025	Cover Page	Report
10/09/2024	Cover Page	Report
10/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Timothy J. Ratty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy James Ratty's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Timothy James Ratty's CRS (Customer Relationship Summary).

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

JANNEY MONTGOMERY SCOTT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2009

Series 65

Date: 10/23/1998

Series 63

Date: 9/30/1998

Series 31

Date: 9/1/2021

SIE

Date: 7/27/2018

Series 3

Date: 12/12/2002

Series 7

Date: 9/8/1998

Series 10

Date: 4/25/2001

Series 9

Date: 4/23/2001

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

JANNEY MONTGOMERY SCOTT LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

JANNEY MONTGOMERY SCOTT LLC

TRUST BUT VERIFY

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