DB
Denise C. Brathwaite
JANNEY MONTGOMERY SCOTT LLC
New York, NY 10036
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CRD#: 3189097
DB
Professional summary
Denise Cotrina Brathwaite, who also goes by Denise C Brathwaite, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in New York, New York.
Denise is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Denise has worked at 9 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Denise C Brathwaite
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 Denise Cotrina Brathwaite's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Denise Cotrina Brathwaite'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
May 9, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1166 Avenue Of The Americas 21st Floor, New York, NY 10036RIA
BD
CRD#: 463
New York, NY
Current
May 9, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1166 Avenue Of The Americas 21st Floor, New York, NY 10036RIA
BD
CRD#: 463
New York, NY
Past
March 3, 2016 - September 8, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
March 3, 2016 - September 8, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
September 17, 2010 - March 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
November 18, 2005 - March 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
February 24, 2003 - December 12, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
October 1, 2002 - October 31, 2002
DOMESTIC SECURITIES, INC.
BD
CRD#: 34721
MONTVALE, NJ
Past
February 6, 2002 - August 6, 2002
DOMESTIC SECURITIES, INC.
BD
CRD#: 34721
MONTVALE, NJ
Past
June 14, 2000 - January 30, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
January 14, 2000 - June 23, 2000
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
April 20, 1999 - September 8, 1999
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
March 25, 1999 - April 19, 1999
J. P. GIBBONS & CO., INC.
BD
CRD#: 38850
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(8/14/2024)
RR
Arizona(8/23/2024)
RR
Arkansas(8/23/2024)
RR
California(5/10/2024)
RR
Colorado(8/15/2024)
RR
Connecticut(5/9/2024)
RR
Delaware(8/21/2024)
RR
District of Columbia(8/20/2024)
RR
Florida(5/9/2024)
RR
Georgia(8/15/2024)
RR
Illinois(5/21/2024)
RR
Indiana(8/16/2024)
RR
Iowa(8/20/2024)
RR
Kansas(8/14/2024)
RR
Kentucky(8/20/2024)
RR
Louisiana(8/20/2024)
RR
Maine(8/15/2024)
RR
Maryland(8/23/2024)
RR
Massachusetts(5/10/2024)
RR
Michigan(8/16/2024)
RR
Minnesota(5/9/2024)
RR
Missouri(8/19/2024)
RR
Nebraska(8/15/2024)
RR
Nevada(8/15/2024)
RR
New Hampshire(5/14/2024)
RR
New Jersey(5/16/2024)
IAR
New Jersey(5/16/2024)
RR
New Mexico(8/15/2024)
IAR
New York(5/9/2024)
RR
New York(5/12/2024)
RR
North Carolina(8/19/2024)
RR
North Dakota(8/19/2024)
RR
Ohio(8/14/2024)
RR
Oklahoma(8/19/2024)
RR
Oregon(8/15/2024)
RR
Pennsylvania(8/15/2024)
RR
Puerto Rico(8/29/2024)
RR
Rhode Island(8/15/2024)
RR
South Carolina(8/14/2024)
RR
South Dakota(8/20/2024)
RR
Tennessee(8/15/2024)
IAR
Texas(5/9/2024)
RR
Texas(5/10/2024)
RR
Utah(8/15/2024)
RR
Vermont(8/14/2024)
RR
Virginia(8/15/2024)
RR
Washington(8/14/2024)
RR
West Virginia(8/21/2024)
RR
Wisconsin(8/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/31/2001
Limited Representative-Equity Trader ExamGeneral 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.
