SP
Stuart L. Peterson
JANNEY MONTGOMERY SCOTT LLC
South Kingstown, RI 02879
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CRD#: 4271324
SP
Professional summary
Stuart Lee Peterson is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in South Kingstown, Rhode Island.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Stuart has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 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.
Watchdog RI, Warwick, RI; Not investment related; Nature: A non-partisan, non profit organization dedicated to public policy research; Board of Directors; Duties: Provide guidance to the organization, participate in votes of the board; Start: May 2019; Devotes 5-hours/month; Not compensated.
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Lee Peterson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stuart Lee Peterson'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
October 16, 2014 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 36 South County Commons Way Unit C2, South Kingstown, RI 02879RIA
BD
CRD#: 463
South Kingstown, RI
Current
October 16, 2014 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 36 South County Commons Way Unit C2, South Kingstown, RI 02879RIA
BD
CRD#: 463
South Kingstown, RI
Past
July 16, 2008 - October 16, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
PROVIDENCE, RI
Past
July 16, 2008 - October 16, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PROVIDENCE, RI
Past
August 21, 2007 - April 29, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
CHICAGO, IL
Past
July 30, 2007 - April 29, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
CHICAGO, IL
Past
May 29, 2002 - October 3, 2003
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
SCHAUMBURG, IL
Past
April 12, 2002 - May 30, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
December 3, 2001 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
September 25, 2000 - October 22, 2001
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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
Colorado(10/16/2014)
RR
Connecticut(10/16/2014)
RR
Delaware(10/16/2014)
RR
Florida(10/16/2014)
RR
Georgia(1/10/2025)
RR
Illinois(10/16/2014)
IAR
Illinois(10/16/2014)
RR
Indiana(10/29/2018)
RR
Iowa(10/16/2014)
RR
Maine(10/16/2014)
RR
Maryland(11/26/2024)
RR
Massachusetts(10/16/2014)
RR
Mississippi(11/4/2024)
RR
Missouri(10/16/2014)
RR
New Hampshire(10/16/2014)
RR
New Jersey(5/19/2020)
RR
New York(10/16/2014)
RR
North Carolina(10/16/2014)
IAR
North Carolina(10/16/2014)
RR
Ohio(10/16/2014)
RR
Rhode Island(10/16/2014)
IAR
Rhode Island(10/16/2014)
RR
South Carolina(10/16/2014)
RR
Utah(9/22/2021)
RR
Virginia(10/16/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 463South Kingstown, RI 02879TRUST BUT VERIFY
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