RY
Roark A. Young
JANNEY MONTGOMERY SCOTT LLC
Miami, FL 33156
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CRD#: 704402
RY
Professional summary
Roark Aaron Young, who also goes by Roark Young, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Miami, Florida.
Roark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Roark has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 4, Series 27, F04 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roark Young
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.
Boxing Commission, Coral Gables, FL; Nature: Professional Boxing; Title/Position: Boxing Judge; Start: Aug 2015; 0-9 hours per month; 0 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Roark Aaron Young's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roark Aaron Young'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 30, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 8950 Sw 74 Court Suite 2005, Miami, FL 33156RIA
BD
CRD#: 463
Miami, FL
Current
October 30, 2020 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 8950 Sw 74 Court Suite 2005, Miami, FL 33156RIA
BD
CRD#: 463
Miami, FL
Past
August 17, 2015 - November 3, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Coral Gables, FL
Past
August 14, 2015 - November 3, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Coral Gables, FL
Past
December 13, 2011 - August 17, 2015
JHS CAPITAL ADVISORS, LLC
RIA
CRD#: 112097
MIAMI, FL
Past
December 6, 2011 - August 14, 2015
JHS CAPITAL ADVISORS, LLC
BD
CRD#: 112097
MIAMI, FL
Past
March 22, 2007 - December 9, 2011
YOUNG, STOVALL AND COMPANY
RIA
CRD#: 8121
MIAMI, FL
Past
February 19, 1980 - August 6, 2013
YOUNG, STOVALL AND COMPANY
BD
CRD#: 8121
MIAMI, FL
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(10/30/2020)
RR
Arizona(10/30/2020)
RR
Arkansas(4/17/2023)
RR
California(10/30/2020)
RR
Colorado(10/30/2020)
RR
Connecticut(12/6/2021)
RR
Florida(10/30/2020)
IAR
Florida(11/2/2020)
RR
Georgia(10/30/2020)
RR
Illinois(10/30/2020)
RR
Indiana(10/30/2023)
RR
Iowa(10/30/2020)
RR
Kentucky(3/23/2023)
RR
Louisiana(3/15/2023)
RR
Maryland(12/6/2021)
RR
Massachusetts(10/30/2020)
RR
Mississippi(3/7/2023)
RR
Missouri(10/30/2020)
RR
Montana(10/30/2020)
RR
New Jersey(10/30/2020)
RR
New York(10/30/2020)
RR
North Carolina(11/9/2020)
IAR
North Carolina(5/30/2023)
RR
Oklahoma(4/8/2021)
RR
Oregon(10/30/2020)
RR
Pennsylvania(10/30/2020)
RR
Rhode Island(8/15/2023)
RR
South Carolina(10/30/2020)
RR
Tennessee(3/7/2023)
RR
Texas(10/30/2020)
IAR
Texas(10/30/2020)
RR
Virginia(10/30/2020)
RR
West Virginia(10/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
F04
Date: 7/11/1980
Financial Principal ExaminationPrincipal/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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Miami, FL 33156TRUST BUT VERIFY
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