KG
Kathryn A. Genovese
JANNEY MONTGOMERY SCOTT LLC
Westbrook, CT 06498
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CRD#: 4404496
KG
Professional summary
Kathryn A Genovese, who also goes by Kathryn A Morrow, Kathryn A Oliver, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Westbrook, Connecticut.
Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kathryn has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathryn A Morrow | Kathryn A Oliver
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.
CT River Lacrosse, Old Lyme, CT. Girls Coordinator/Board Member 902/2020) - Coordinate program roster, schedules, field space, games, general support during season. Not compensated, not investment related, 10 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn A Genovese's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathryn A Genovese'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
June 18, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1551 Boston Post Road 2nd Floor, Westbrook, CT 06498RIA
BD
CRD#: 463
Westbrook, CT
Current
June 18, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1551 Boston Post Road 2nd Floor, Westbrook, CT 06498RIA
BD
CRD#: 463
Westbrook, CT
Past
August 30, 2016 - June 21, 2024
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
OLD LYME, CT
Past
August 30, 2016 - June 21, 2024
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
OLD LYME, CT
Past
July 17, 2012 - September 15, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
OLD SAYBROOK, CT
Past
July 17, 2012 - September 15, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
OLD SAYBROOK, CT
Past
September 12, 2006 - July 19, 2012
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
OLD LYME, CT
Past
September 12, 2006 - July 19, 2012
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
OLD LYME, CT
Past
April 22, 2005 - August 30, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MADISON, CT
Past
April 22, 2005 - August 30, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GUILFORD, CT
Past
October 20, 2004 - April 26, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
OLD LYME, CT
Past
October 20, 2004 - April 26, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
September 1, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
OLD LYME, CT
Past
June 13, 2001 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
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
California(5/7/2025)
RR
Connecticut(6/18/2024)
IAR
Connecticut(6/18/2024)
RR
Florida(6/18/2024)
IAR
Florida(6/19/2024)
RR
Georgia(5/7/2025)
RR
Illinois(5/7/2025)
RR
Indiana(5/7/2025)
RR
Massachusetts(6/20/2024)
RR
New Hampshire(6/18/2024)
IAR
New Hampshire(6/18/2024)
RR
New York(7/1/2024)
RR
Pennsylvania(5/7/2025)
RR
Rhode Island(6/18/2024)
IAR
Rhode Island(6/18/2024)
RR
South Carolina(5/7/2025)
RR
Texas(5/7/2025)
IAR
Texas(5/8/2025)
RR
Vermont(6/18/2024)
IAR
Vermont(6/18/2024)
RR
Virginia(5/7/2025)
RR
Wyoming(5/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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 | |
| 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.
