FB
Frank H. Braddock
JANNEY MONTGOMERY SCOTT LLC
COLUMBIA, SC 29201
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CRD#: 4171565
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Professional summary
Frank Hobert Braddock, AIF®, CFP®, CIMA® is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Columbia, South Carolina.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Frank has worked at 7 firms and has passed the Series 65, Series 63, 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.
Artist for Africa; this is an arts group that supports dance education in Africa for low income students; 1122 Elm St. Columbia, SC 29205; start date: 01/01/2020; Board member; helping to set overall policy for the organization; 3hrs/month; 0.10hr/day; not investment-related
CRS (Client Relationship Summary) - RIA
Click below to view Frank Hobert Braddock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Hobert Braddock'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: 2006
Experience
Current
May 26, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1441 Main Street Suite 700, Columbia, SC 29201RIA
BD
CRD#: 463
COLUMBIA, SC
Current
May 26, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1441 Main Street Suite 700, Columbia, SC 29201RIA
BD
CRD#: 463
COLUMBIA, SC
Past
November 12, 2010 - May 26, 2015
JHS CAPITAL ADVISORS, LLC
RIA
CRD#: 112097
COLUMBIA, SC
Past
November 12, 2010 - May 26, 2015
JHS CAPITAL ADVISORS, LLC
BD
CRD#: 112097
COLUMBIA, SC
Past
June 1, 2009 - November 29, 2010
MORGAN STANLEY
RIA
CRD#: 149777
COLUMBIA, SC
Past
June 1, 2009 - November 29, 2010
MORGAN STANLEY
BD
CRD#: 149777
COLUMBIA, SC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
COLUMBIA, SC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
COLUMBIA, SC
Past
October 6, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
COLUMBIA, SC
Past
October 6, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
COLUMBIA, SC
Past
August 28, 2003 - October 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBIA, SC
Past
May 16, 2003 - October 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLUMBIA, SC
Past
March 4, 2002 - May 23, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
COLUMBIA, SC
Past
June 5, 2000 - May 23, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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(8/12/2024)
RR
Arizona(5/24/2022)
RR
California(5/26/2015)
IAR
California(5/27/2015)
RR
Colorado(5/26/2015)
IAR
Colorado(5/26/2015)
RR
District of Columbia(5/26/2015)
RR
Florida(5/26/2015)
IAR
Florida(5/28/2015)
RR
Georgia(5/26/2015)
IAR
Georgia(6/1/2015)
RR
Louisiana(5/26/2015)
IAR
Louisiana(5/26/2015)
RR
Massachusetts(5/26/2015)
RR
New Jersey(3/2/2018)
RR
New Mexico(5/26/2015)
IAR
New Mexico(5/27/2015)
RR
North Carolina(5/26/2015)
IAR
North Carolina(5/26/2015)
RR
Ohio(5/26/2015)
IAR
Ohio(5/27/2015)
RR
Pennsylvania(6/19/2015)
RR
South Carolina(5/26/2015)
IAR
South Carolina(5/27/2015)
RR
Tennessee(5/26/2015)
RR
Texas(6/13/2022)
IAR
Texas(6/13/2022)
RR
West Virginia(6/10/2022)
Exams
State Security Law Exam
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#: 463Columbia, SC 29201TRUST BUT VERIFY
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