RS
Robert L. Stiles
JANNEY MONTGOMERY SCOTT LLC
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 874828
RS
Professional summary
Robert Louis Stiles JR, who also goes by Bob Stiles, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Charlotte, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Stiles
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.
S & A Acquisition, Charlotte, NC. General Partner for Real Estate Investment (12/2004) - duties includes filing taxes. Not compensated, investment related, 1 hour/month. S & A 2 Acquisition, Charlotte, NC. General Partner for Real Estate Investment (12/2004) - duties includes filing taxes. Not compensated, investment related, 1 hour/month.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Louis Stiles JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Louis Stiles JR'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
November 15, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Current
November 15, 2024 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211RIA
BD
CRD#: 463
Charlotte, NC
Past
March 24, 2014 - November 18, 2024
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
Charlotte, NC
Past
March 24, 2014 - November 18, 2024
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
Charlotte, NC
Past
March 14, 2005 - March 7, 2014
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
CHARLOTTE, NC
Past
March 10, 2005 - March 7, 2014
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CHARLOTTE, NC
Past
June 21, 2002 - March 14, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
June 15, 2002 - March 14, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 28, 2002 - June 21, 2002
WACHOVIA SECURITIES, INC.
RIA
CRD#: 431
CHARLOTTE, NC
Past
September 19, 1994 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
August 24, 1988 - September 28, 1994
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
December 8, 1986 - August 29, 1988
THE PINNACLE GROUP, INC.
BD
CRD#: 17048
Past
December 3, 1979 - December 16, 1986
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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(2/25/2025)
RR
Arizona(11/15/2024)
RR
Colorado(11/15/2024)
RR
Florida(11/15/2024)
IAR
Florida(11/18/2024)
RR
Georgia(11/15/2024)
RR
Illinois(11/15/2024)
RR
Kentucky(11/21/2024)
RR
Maryland(11/15/2024)
RR
New Jersey(11/15/2024)
RR
New York(11/15/2024)
IAR
North Carolina(11/15/2024)
RR
North Carolina(11/18/2024)
RR
South Carolina(11/15/2024)
RR
Tennessee(11/15/2024)
RR
Texas(11/15/2024)
RR
Virginia(11/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationGeneral 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.
