Candice L. Waxler
JANNEY MONTGOMERY SCOTT LLC
Dubois, PA 15801
Some features on this profile are disabled
CRD#: 6293974
Professional summary
Candice Lin Waxler, who also goes by Candice Lin Fleck, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Dubois, Pennsylvania.
Candice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Candice has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Candice Lin Fleck
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.
Downtown Dubois Group, DuBois, PA. Non-profit organization promoting Dubois downtown area through beautification, economic development, marketing, promotions and fundraising. Vice President (01/2018) - responsibilities are to vote on board motions, help plan fundraisers, discuss ideas for beautification and development for our downtown. Not compensated, not investment related, 2 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Candice Lin Waxler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Candice Lin Waxler'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
October 12, 2023 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 630 Division Street Suite 1, Dubois, PA 15801RIA
BD
CRD#: 463
Dubois, PA
Current
October 12, 2023 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 630 Division Street Suite 1, Dubois, PA 15801RIA
BD
CRD#: 463
Dubois, PA
Past
June 6, 2016 - October 16, 2023
EDWARD JONES
RIA
CRD#: 250
DuBois, PA
Past
June 6, 2016 - October 16, 2023
EDWARD JONES
BD
CRD#: 250
DuBois, PA
Past
August 4, 2014 - April 15, 2015
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
DUBOIS, PA
Past
February 24, 2014 - April 15, 2015
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
DUBOIS, PA
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
Florida(4/17/2024)
RR
Nebraska(10/12/2023)
RR
North Carolina(5/30/2025)
RR
Pennsylvania(10/12/2023)
IAR
Pennsylvania(10/12/2023)
RR
Virginia(12/12/2024)
RR
Washington(10/12/2023)
Exams
State Security Law Exam
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)
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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.
