Ethan D. Lindbloom
JANNEY MONTGOMERY SCOTT LLC
Richmond, VA 23229
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CRD#: 4072349
Professional summary
Ethan David Lindbloom, AIF®, CFP® is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Richmond, Virginia.
Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Ethan has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 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. Silver & Gray LLC, 2014 Parkwood Avenue and 1 N. Allen Avenue; not investment related; Nature: Real Estate holding; Position: Property Owner; Creating a two-person LLC to hold the property. Properties managed by a professional property manager, so very little of my time is required; Devotes 2-hours per month; not compensated. #2. OAR of Richmond, 3111 W. Clay Street, Richmond, VA; Nature: A non-profit organization that helps formerly incarcerated individuals find success in the community - "Opportunity Alliance Re-Entry"; Position: Board Member; Attend approx. 6 meetings per year; Duties may involve oversight of the executive director, the mission, and programming of the organization, and the budget. Not compensated. #3: Ginter Park Presbyterian Church; 3601 Seminary Avenue, Richmond, VA; Not investment related; Committee Member; I would be one of twelve committee members tasked with overseeing the church's endowment and approving requests for appropriations; Devote 1 hour/month; 06/2017; Not compensated. #4 CX Certificate Program; member of a 16 person advisory board; 1hr/month; Start date: 01/08/2021; investment-related #5 ESCA LLC; limited liability corporation to invest in real estate; 5hrs/month; not investment-related #6 Culture Goat LLC; not investment related; 1205 Westover Hills Blvd., Richmond, VA 23225; Member; start date:09/24/2021; a passive LLC as an entity to own one piece of real estate #7 The Virginia Home, Richmond, VA; provides nursing, therapeutic and residential care. Board Member: attend board meetings and provide standard oversight of the executive team and organization. Not compensated, approx. 3 hrs./month, not investment related, start 11/2022. #8 Semmes Corner LLC, Richmond, VA. Member (01/2025) - no duties, holds one commercial property. Not compensated, investment related, 1 hour/month.
CRS (Client Relationship Summary) - RIA
Click below to view Ethan David Lindbloom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ethan David Lindbloom'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: 2012
Experience
Current
October 12, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 6241 River Road, Richmond, VA 23229RIA
BD
CRD#: 463
Richmond, VA
Current
October 12, 2012 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 6241 River Road, Richmond, VA 23229RIA
BD
CRD#: 463
Richmond, VA
Past
September 23, 2005 - November 8, 2012
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
RICHMOND, VA
Past
September 23, 2005 - November 8, 2012
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
RICHMOND, VA
Past
May 31, 2005 - September 27, 2005
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
RICHMOND, VA
Past
April 13, 2005 - September 27, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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(12/17/2018)
RR
Arizona(5/24/2021)
RR
California(10/12/2012)
IAR
California(11/7/2012)
RR
Colorado(6/30/2014)
RR
Delaware(9/3/2025)
RR
District of Columbia(10/12/2012)
IAR
District of Columbia(12/10/2012)
RR
Florida(10/12/2012)
RR
Georgia(5/26/2017)
RR
Hawaii(8/4/2015)
RR
Idaho(10/12/2012)
RR
Illinois(10/12/2012)
RR
Indiana(10/12/2012)
RR
Kentucky(10/12/2012)
RR
Maryland(10/12/2012)
RR
Massachusetts(10/12/2012)
RR
Michigan(10/12/2012)
RR
New Hampshire(10/28/2025)
RR
New Jersey(10/12/2012)
RR
New Mexico(10/26/2023)
RR
New York(10/12/2012)
RR
North Carolina(10/12/2012)
IAR
North Carolina(11/6/2012)
RR
Ohio(10/12/2012)
RR
Oregon(8/23/2017)
RR
Pennsylvania(10/12/2012)
RR
South Carolina(10/12/2012)
RR
Texas(10/12/2012)
IAR
Texas(1/10/2013)
RR
Vermont(9/3/2015)
RR
Virginia(10/12/2012)
IAR
Virginia(10/12/2012)
RR
Washington(5/22/2014)
RR
Wisconsin(3/8/2017)
Exams
State Security Law Exam
General Industry/Product 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)
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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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Richmond, VA 23229TRUST BUT VERIFY
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