KB
Kimberly R. Brown
JANNEY MONTGOMERY SCOTT LLC
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 5561854
KB
Professional summary
Kimberly Rose Brown, who also goes by Kimberly Rose Ching, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Atlanta, Georgia.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Kimberly has worked at 7 firms and has passed the Series 65, Series 66, Series 99TO, SIE, Series 87, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberly Rose Ching
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 Kimberly Rose Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Rose Brown'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
January 7, 2022 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1260, Atlanta, GA 30326RIA
BD
CRD#: 463
Atlanta, GA
Current
May 31, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 3560 Lenox Road Ne Suite 1260, Atlanta, GA 30326RIA
BD
CRD#: 463
Atlanta, GA
Past
February 9, 2016 - August 2, 2016
FIG PARTNERS, LLC
RIA
CRD#: 41554
ATLANTA, GA
Past
February 2, 2016 - November 25, 2019
FIG PARTNERS, LLC
BD
CRD#: 41554
ATLANTA, GA
Past
February 24, 2014 - February 3, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
February 24, 2014 - February 3, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
March 10, 2011 - February 11, 2014
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ATLANTA, GA
Past
March 8, 2011 - February 11, 2014
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
July 17, 2009 - March 14, 2011
BLUECHIP WEALTH ADVISORS LLC
RIA
CRD#: 150008
ALPHARETTA, GA
Past
May 20, 2009 - October 19, 2009
TRIAD ADVISORS LLC
RIA
CRD#: 25803
ALPHARETTA, GA
Past
May 13, 2009 - March 4, 2011
TRIAD ADVISORS LLC
BD
CRD#: 25803
ALPHARETTA, GA
Past
January 26, 2009 - May 11, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALPHARETTA, GA
Past
December 23, 2008 - May 11, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
ALPHARETTA, 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
Alabama(11/29/2019)
RR
Arizona(6/3/2019)
RR
Arkansas(12/24/2019)
RR
California(6/3/2019)
RR
Colorado(12/24/2019)
RR
Connecticut(12/24/2019)
RR
Delaware(12/24/2019)
RR
District of Columbia(12/24/2019)
RR
Florida(12/3/2019)
RR
Georgia(6/3/2019)
IAR
Georgia(1/7/2022)
RR
Hawaii(12/24/2019)
RR
Idaho(12/24/2019)
RR
Iowa(8/29/2019)
RR
Maine(12/24/2019)
RR
Massachusetts(12/24/2019)
RR
Montana(12/24/2019)
RR
Nebraska(12/24/2019)
RR
New Hampshire(12/24/2019)
RR
New Jersey(12/24/2019)
RR
New York(12/24/2019)
RR
North Carolina(12/24/2019)
RR
North Dakota(12/24/2019)
RR
Ohio(12/24/2019)
RR
Oklahoma(12/24/2019)
RR
Oregon(12/24/2019)
RR
Pennsylvania(12/24/2019)
RR
Rhode Island(12/24/2019)
RR
South Carolina(12/3/2019)
RR
Texas(12/24/2019)
RR
West Virginia(5/7/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 2/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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 | |
| 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.
