ES
Elisa M. Sowers
JANNEY MONTGOMERY SCOTT LLC
Westbrook, CT 06498
Some features on this profile are disabled
CRD#: 3144922
ES
Professional summary
Elisa Marie Sowers, who also goes by Elisa Marie Murray, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Westbrook, Connecticut.
Elisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Elisa has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elisa Marie Murray
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) LITTLE MEADOW CANDLE COMPANY LLC
GUILFORD, CT 06437
CATEGORY: LEGAL ENTITY/RETAIL
INVESTMENT RELATED: NO
TITLE: OWNER
DUTIES: LEGAL ENTITY THROUGH WHICH CANDLE COMPANY OPERATES.
START DATE: 02/13/2020
HOURS PER MONTH: 20
HOURS PER MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Elisa Marie Sowers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elisa Marie Sowers'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
November 11, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1551 Boston Post Road 2nd Floor, Westbrook, CT 06498RIA
BD
CRD#: 463
Westbrook, CT
Current
November 11, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1551 Boston Post Road 2nd Floor, Westbrook, CT 06498RIA
BD
CRD#: 463
Westbrook, CT
Past
June 15, 2022 - November 11, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GUILFORD, CT
Past
December 20, 2021 - November 11, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GUILFORD, CT
Past
November 6, 2018 - October 22, 2021
OSAIC FS, INC.
BD
CRD#: 3870
BRANFORD, CT
Past
July 24, 2003 - March 2, 2006
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
December 4, 2000 - November 6, 2002
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
December 23, 1998 - July 11, 2000
FORTIS CAPITAL INVESTMENTS INC.
BD
CRD#: 15006
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(11/11/2025)
RR
Alaska(11/11/2025)
RR
Arizona(11/11/2025)
RR
Arkansas(11/11/2025)
RR
California(11/11/2025)
RR
Colorado(11/11/2025)
RR
Connecticut(11/11/2025)
IAR
Connecticut(11/11/2025)
RR
Delaware(11/11/2025)
RR
District of Columbia(11/11/2025)
RR
Florida(11/11/2025)
RR
Georgia(11/11/2025)
RR
Hawaii(11/11/2025)
RR
Idaho(11/11/2025)
RR
Illinois(11/11/2025)
RR
Indiana(11/11/2025)
RR
Iowa(11/11/2025)
RR
Kansas(11/11/2025)
RR
Kentucky(11/11/2025)
RR
Louisiana(11/11/2025)
RR
Maryland(11/11/2025)
RR
Massachusetts(11/11/2025)
RR
Michigan(11/11/2025)
RR
Minnesota(11/11/2025)
RR
Mississippi(11/11/2025)
RR
Missouri(11/11/2025)
RR
Montana(11/11/2025)
RR
Nebraska(11/11/2025)
RR
Nevada(11/11/2025)
RR
New Hampshire(11/11/2025)
RR
New Jersey(11/11/2025)
RR
New Mexico(11/11/2025)
RR
New York(11/11/2025)
RR
North Carolina(11/13/2025)
RR
North Dakota(11/11/2025)
RR
Ohio(11/11/2025)
RR
Oklahoma(11/11/2025)
RR
Oregon(11/11/2025)
RR
Pennsylvania(11/11/2025)
RR
Puerto Rico(11/11/2025)
RR
Rhode Island(11/11/2025)
RR
South Carolina(11/11/2025)
RR
South Dakota(11/11/2025)
RR
Tennessee(11/11/2025)
RR
Texas(11/11/2025)
IAR
Texas(11/11/2025)
RR
Utah(11/11/2025)
RR
Vermont(11/11/2025)
RR
Virgin Islands(11/11/2025)
RR
Virginia(11/11/2025)
RR
Washington(11/11/2025)
RR
West Virginia(11/11/2025)
RR
Wisconsin(11/11/2025)
RR
Wyoming(11/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/5/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/6/2018
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
