CF
Charles R. Faires
JANNEY MONTGOMERY SCOTT LLC
ATLANTA, GA 30326
Some features on this profile are disabled
CRD#: 500564
CF
Professional summary
Charles Randall Faires, who also goes by Randy Faires, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Atlanta, Georgia.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Charles has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Faires
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Randall Faires's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Randall Faires'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
March 6, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326RIA
BD
CRD#: 463
ATLANTA, GA
Current
March 6, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1100, Atlanta, GA 30326RIA
BD
CRD#: 463
ATLANTA, GA
Past
February 17, 2021 - March 6, 2025
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
ATLANTA, GA
Past
February 17, 2021 - March 6, 2025
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
November 1, 2019 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
January 5, 2006 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
ALPHARETTA, GA
Past
January 28, 2005 - January 12, 2006
BERGEN CAPITAL, INC.
BD
CRD#: 46348
HASBROUCK HEIGHTS, NJ
Past
November 24, 2004 - January 25, 2005
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
BOLTON, MA
Past
June 1, 1995 - November 23, 2004
GMS GROUP
BD
CRD#: 8000
EAST HANOVER, NJ
Past
December 17, 1987 - June 6, 1995
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
January 29, 1982 - December 22, 1987
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Past
January 14, 1976 - January 31, 1982
HENDERSON, FEW & CO.
BD
CRD#: 6977
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(3/6/2025)
RR
Alaska(3/6/2025)
RR
Arizona(3/6/2025)
RR
California(3/6/2025)
RR
Colorado(3/6/2025)
RR
Connecticut(3/6/2025)
RR
Florida(3/6/2025)
RR
Georgia(3/6/2025)
IAR
Georgia(3/7/2025)
RR
Illinois(3/6/2025)
RR
Indiana(3/6/2025)
RR
Kansas(3/6/2025)
RR
Kentucky(3/6/2025)
RR
Louisiana(3/6/2025)
IAR
Louisiana(3/6/2025)
RR
Maine(3/6/2025)
RR
Maryland(3/6/2025)
RR
Massachusetts(3/11/2025)
RR
Michigan(3/6/2025)
RR
Nevada(3/6/2025)
RR
New Jersey(3/6/2025)
RR
New York(3/6/2025)
RR
North Carolina(3/10/2025)
RR
Ohio(3/6/2025)
RR
Oklahoma(3/6/2025)
RR
Oregon(3/6/2025)
RR
Pennsylvania(3/6/2025)
RR
Puerto Rico(3/6/2025)
RR
South Carolina(3/6/2025)
RR
South Dakota(3/6/2025)
RR
Tennessee(3/6/2025)
RR
Texas(3/6/2025)
IAR
Texas(3/6/2025)
RR
Virginia(3/6/2025)
RR
West Virginia(3/6/2025)
RR
Wisconsin(3/6/2025)
RR
Wyoming(3/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/13/1976
Registered Representative ExaminationSRO 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.
