JS
Jeremy N. Swank
JANNEY MONTGOMERY SCOTT LLC
Mansfield, OH 44907
Some features on this profile are disabled
CRD#: 3168639
JS
Professional summary
Jeremy Nathan Swank, ChFC® is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Mansfield, Ohio.
Jeremy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jeremy has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 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. Per Augusta In Augusta LLC, Mansfield, OH. Sole Owner (01/2004) - real estate investments. Compensated, 10 hours/month, investment related. 2. Taking Root Farms, Mansfield, OH. Taking Root Farms will empower and enhance the daily lives of adults with developmental disabilities living in Richland County and the surrounding region. Board Member (03/2024) - Advisement to non-profit operations. Not compensated, not investment related, 5 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Jeremy Nathan Swank's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeremy Nathan Swank'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
October 24, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1230 Lexington Avenue, Mansfield, OH 44907RIA
BD
CRD#: 463
Mansfield, OH
Current
October 24, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1230 Lexington Avenue, Mansfield, OH 44907RIA
BD
CRD#: 463
Mansfield, OH
Past
August 29, 2016 - October 28, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Mansfield, OH
Past
August 29, 2016 - October 28, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
MANSFIELD, OH
Past
February 1, 2010 - August 29, 2016
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
MANSFIELD, OH
Past
January 28, 2010 - August 29, 2016
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
MANSFIELD, OH
Past
July 6, 2006 - February 9, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
MANSFIELD, OH
Past
July 3, 2006 - February 9, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
MANSFIELD, OH
Past
April 11, 2003 - July 19, 2006
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
DUBLIN, OH
Past
October 21, 2002 - July 19, 2006
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DAYTON, OH
Past
January 14, 2002 - September 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MANSFIELD, OH
Past
February 8, 1999 - September 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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(10/25/2024)
RR
Arizona(10/25/2024)
RR
California(10/25/2024)
RR
Colorado(10/25/2024)
RR
Florida(10/25/2024)
RR
Georgia(10/25/2024)
RR
Illinois(11/8/2024)
RR
Indiana(10/25/2024)
RR
Iowa(10/25/2024)
RR
Kentucky(10/25/2024)
RR
Louisiana(10/25/2024)
RR
Maine(10/25/2024)
RR
Maryland(2/14/2025)
RR
Massachusetts(10/25/2024)
RR
Michigan(10/25/2024)
RR
Mississippi(10/25/2024)
RR
Montana(7/30/2025)
RR
Nevada(10/25/2024)
RR
New Hampshire(3/20/2025)
RR
New Mexico(10/25/2024)
RR
New York(10/25/2024)
RR
North Carolina(10/31/2024)
IAR
Ohio(10/24/2024)
RR
Ohio(10/25/2024)
RR
Oklahoma(10/30/2024)
RR
Oregon(10/25/2024)
RR
Pennsylvania(10/30/2024)
RR
South Carolina(10/29/2024)
RR
Tennessee(11/4/2024)
IAR
Texas(10/24/2024)
RR
Texas(10/25/2024)
RR
Virginia(10/25/2024)
RR
Washington(10/14/2025)
RR
West Virginia(10/25/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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.
