Elizabeth W. Anderson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elizabeth Wilson Anderson, who also goes by Elizabeth Ashley Wilson, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2001. Elizabeth had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2024 - December 23, 2025
JANNEY MONTGOMERY SCOTT LLC
January 9, 2024 - December 23, 2025
JANNEY MONTGOMERY SCOTT LLC
September 16, 2021 - December 15, 2023
TRUIST INVESTMENT SERVICES, INC.
September 15, 2021 - December 15, 2023
TRUIST ADVISORY SERVICES, INC.
December 2, 2015 - June 30, 2020
BB&T SECURITIES, LLC
November 20, 2015 - June 30, 2020
BB&T SECURITIES, LLC
February 18, 2011 - June 20, 2014
TRUIST INVESTMENT SERVICES, INC.
February 18, 2011 - June 20, 2014
TRUIST INVESTMENT SERVICES, INC.
February 17, 2006 - February 14, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 17, 2006 - February 14, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 13, 2005 - October 12, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 3, 2005 - October 12, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 19, 2004 - May 13, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2004 - May 13, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 24, 2002 - September 9, 2004
RBC CAPITAL MARKETS, LLC
March 9, 2002 - September 9, 2004
RBC CAPITAL MARKETS, LLC
January 3, 2002 - March 9, 2002
TUCKER ANTHONY INCORPORATED
February 5, 2001 - December 3, 2001
DAVENPORT & COMPANY LLC
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
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 | |
| 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.
