Asa J. Cort
JANNEY MONTGOMERY SCOTT LLC | Account Executive / Financial Planning Associate
NEW HAVEN, CT 06511
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CRD#: 5932220
Professional summary
Asa J. F. Cort, who also goes by Asa J Cort, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in New Haven, Connecticut.
Asa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Asa has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Biography
Asa joined Noble Wealth Advisors in 2019 as a Financial Planning Associate and has been in the financial services industry for over 8 years. His focus is providing assistance with financial planning and coordinating insurance services for the team. Asa holds his FINRA Series 7, 6, 63, 65, SIE, Life and Health Insurance License and received the Accredited Wealth Management Advisor designation from the College for Financial Planning in 2016.
He received a B.S. in Financial Services Management from Johnson & Wales University, an M.B.A. in Finance and Economics from Southern Connecticut State University and a Doctorate in Business Administration in Finance from Sacred Heart University. Asa is a Reverend at his local church, volunteers for Habitat for Humanity, enjoys reading, spending time with family, exercising and cares about the prevention of animal cruelty.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Asa J Cort
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.
1) The Cort Family Foundation, Inc.; Provide scholarship fund to children in need, providing food to those in lower income communities and helping other non-profits carry out their missions; 144 Hendley St. Middletown, CT 06457; start date: 05/25/2020; Co-founder; 10hrs/month; 0.50hr/day; not investment-related.
CRS (Client Relationship Summary) - RIA
Click below to view Asa J. F. Cort's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Asa J. F. Cort'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 3, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 321 Whitney Avenue, New Haven, CT 06511RIA
BD
CRD#: 463
NEW HAVEN, CT
Current
October 17, 2019 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 321 Whitney Avenue, New Haven, CT 06511RIA
BD
CRD#: 463
NEW HAVEN, CT
Past
May 10, 2017 - September 11, 2018
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
BRIDGEPORT, CT
Past
May 4, 2015 - November 29, 2016
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HARTFORD, CT
Past
April 17, 2013 - April 10, 2015
P.J. ROBB VARIABLE, LLC
BD
CRD#: 38339
FARMINGTON, CT
Past
September 8, 2011 - January 8, 2013
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
ROCKY HILL, CT
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
Connecticut(10/17/2019)
IAR
Connecticut(3/3/2020)
RR
Indiana(9/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2021
General Securities Representative ExaminationGeneral 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
Account Executive / Financial Planning AssociateCRD#: 463New Haven, CT 06511TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
