JN
Jessica S. Niles
JANNEY MONTGOMERY SCOTT LLC
Saratoga Springs, NY 12866
Some features on this profile are disabled
CRD#: 6259985
JN
Professional summary
Jessica Suzanne Niles, who also goes by Jessica Suzanne Niles Ms, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Saratoga Springs, New York.
Jessica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Jessica has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jessica Suzanne Niles Ms
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 Saratoga Institute; not investment related; 110 Spring Street, Saratoga Springs, NY 12866; Board Member; start date: 07/16/2021; Non-profit in Saratoga Springs NY that helps to assist organizations in the initial stages of becoming a not for profit. I will help choose and review projects under the umbrella of the institute. 2) Wellspring, Malta, NY. Wellspring's mission is to support survivors and engage our community to end relationship and sexual abuse. Board Member: responsible for oversight and governance of the organization. Nonprofit organization, not compensated, 3 hrs./month, not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Jessica Suzanne Niles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jessica Suzanne Niles'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
September 9, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Railroad Place Suite 405, Saratoga Springs, NY 12866RIA
BD
CRD#: 463
Saratoga Springs, NY
Current
September 3, 2015 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 60 Railroad Place Suite 405, Saratoga Springs, NY 12866RIA
BD
CRD#: 463
Saratoga Springs, NY
Past
January 23, 2014 - September 15, 2015
MORGAN STANLEY
RIA
CRD#: 149777
SARATOGA SPRINGS, NY
Past
December 18, 2013 - September 15, 2015
MORGAN STANLEY
BD
CRD#: 149777
SARATOGA SPRINGS, 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(9/3/2015)
RR
Colorado(9/3/2015)
RR
Connecticut(2/27/2017)
RR
Delaware(10/13/2023)
RR
Florida(9/3/2015)
RR
Georgia(9/3/2015)
RR
Illinois(9/3/2015)
RR
Maine(3/8/2021)
RR
Maryland(9/3/2015)
RR
Massachusetts(9/3/2015)
RR
New Hampshire(9/3/2015)
RR
New Jersey(9/3/2015)
IAR
New Jersey(9/9/2015)
RR
New York(9/3/2015)
IAR
New York(4/21/2021)
RR
North Carolina(9/20/2019)
RR
Ohio(9/3/2015)
RR
Pennsylvania(9/3/2015)
RR
South Carolina(9/3/2015)
RR
Tennessee(4/12/2021)
RR
Utah(4/23/2019)
RR
Vermont(9/3/2015)
RR
Virginia(8/24/2018)
RR
Washington(4/13/2022)
RR
Wisconsin(7/24/2020)
Exams
State Security Law Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
