PS
Phillip Suarez
JANNEY MONTGOMERY SCOTT
NEW YORK, NY 10036
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CRD#: 4303779
PS
Phillip SuarezJANNEY MONTGOMERY SCOTT
Professional summary
Phillip Suarez, who also goes by Phillip J Suarez, Phillip Joseph Suarez, Phillip Suarez, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in New York, New York.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Phillip has worked at 9 firms and has passed the Series 66, SIE, Series 3, Series 25, Series 7, Series 10 and Series 9 exams.
Aliases
Phillip J Suarez | Phillip Joseph Suarez | Phillip Suarez
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.
*573874 - Duck Donuts; Investment Related-Yes; TBD, New Jersey; Restaurant/Bar/Nightclub; Partner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 11/2024; During Business Hours: 0; After Business Hours: 5; Donut store that we are looking to open
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Suarez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Phillip Suarez'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
August 17, 2026 - 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
August 17, 2026 - 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
October 23, 2023 - February 25, 2025
MORGAN STANLEY
RIA
CRD#: 149777
New York, NY
Past
October 23, 2023 - February 25, 2025
MORGAN STANLEY
BD
CRD#: 149777
New York, NY
Past
March 17, 2021 - November 7, 2023
ROCKEFELLER FINANCIAL LLC
RIA
CRD#: 291361
New York, NY
Past
March 16, 2021 - November 7, 2023
ROCKEFELLER FINANCIAL LLC
BD
CRD#: 291361
New York, NY
Past
September 17, 2013 - March 23, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Warren, NJ
Past
September 16, 2013 - March 23, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Warren, NJ
Past
October 8, 2012 - September 26, 2013
MORGAN STANLEY
BD
CRD#: 149777
BEDMINSTER, NJ
Past
September 28, 2012 - September 26, 2013
MORGAN STANLEY
RIA
CRD#: 149777
BEDMINSTER, NJ
Past
December 24, 2008 - November 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BRIDGEWATER, NJ
Past
December 1, 2008 - November 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BRIDGEWATER, NJ
Past
February 20, 2007 - July 11, 2008
TRADEMAS INC.
BD
CRD#: 130030
NEW YORK, NY
Past
July 11, 2006 - February 23, 2007
MJQ SECURITIES CORP.
BD
CRD#: 119014
NEW YORK, NY
Past
April 5, 2002 - April 16, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FLORHAM PARK, NJ
Past
April 3, 2002 - June 30, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
BD
CRD#: 28269
NEW YORK, NY
Past
March 20, 2001 - April 16, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 3, 2001 - March 16, 2001
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(8/17/2026)
RR
Alaska(8/17/2026)
RR
Arizona(8/17/2026)
RR
Arkansas(8/17/2026)
RR
California(8/17/2026)
RR
Colorado(8/17/2026)
RR
Connecticut(8/17/2026)
RR
Delaware(8/17/2026)
RR
District of Columbia(8/17/2026)
RR
Florida(8/17/2026)
RR
Georgia(8/17/2026)
RR
Hawaii(8/17/2026)
RR
Idaho(8/17/2026)
RR
Illinois(8/17/2026)
RR
Indiana(8/17/2026)
RR
Iowa(8/17/2026)
RR
Kansas(8/17/2026)
RR
Kentucky(8/17/2026)
RR
Louisiana(8/17/2026)
RR
Maine(8/17/2026)
RR
Maryland(8/17/2026)
RR
Massachusetts(8/17/2026)
RR
Michigan(8/17/2026)
RR
Minnesota(8/17/2026)
RR
Mississippi(8/17/2026)
RR
Missouri(8/17/2026)
RR
Montana(8/17/2026)
RR
Nebraska(8/17/2026)
RR
Nevada(8/17/2026)
RR
New Hampshire(8/17/2026)
RR
New Jersey(8/17/2026)
IAR
New Jersey(8/19/2026)
RR
New Mexico(8/17/2026)
RR
New York(8/17/2026)
IAR
New York(8/17/2026)
RR
North Carolina(8/18/2026)
RR
North Dakota(8/17/2026)
RR
Ohio(8/17/2026)
RR
Oklahoma(8/17/2026)
RR
Oregon(8/17/2026)
RR
Pennsylvania(8/17/2026)
RR
Puerto Rico(8/17/2026)
RR
Rhode Island(8/17/2026)
RR
South Carolina(8/17/2026)
RR
South Dakota(8/17/2026)
RR
Tennessee(8/17/2026)
RR
Texas(8/17/2026)
IAR
Texas(8/17/2026)
RR
Utah(8/17/2026)
RR
Vermont(8/17/2026)
RR
Virgin Islands(8/17/2026)
RR
Virginia(8/17/2026)
RR
Washington(8/17/2026)
RR
West Virginia(8/17/2026)
RR
Wisconsin(8/17/2026)
RR
Wyoming(8/17/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 12/10/2002
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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 | |
| 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.
