at


Investment Adviser Firm Summary

JANNEY MONTGOMERY SCOTT LLC (CRD# 463 / SEC# 8-462, 801-7258)
Alternate Names: JANNEY MONTGOMERY SCOTT INC. , JANNEY MONTGOMERY SCOTT LLC , PARKER/HUNTER ASSET MANAGEMENT

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/08/1971

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 09/13/1996
Alaska 07/01/2005
Arizona 06/30/2005
Arkansas 07/06/2005
California 07/08/1997
Colorado 06/30/2005
Connecticut 10/11/2001
Delaware 06/30/2003
District of Columbia 01/01/1994
Florida 12/10/1992
Georgia 01/05/1998
Hawaii 06/30/2005
Idaho 06/30/2005
Illinois 12/28/1993
Indiana 06/30/2005
Iowa 06/30/2005
Kansas 06/30/2005
Kentucky 06/30/2005
Louisiana 06/30/2005
Maine 10/25/1995
Maryland 01/08/1992
Massachusetts 04/04/2006
Michigan 01/05/1998
Minnesota 01/02/1998
Mississippi 06/30/2005
Missouri 06/30/2005
Montana 06/30/2005
Nebraska 06/30/2005
Nevada 06/30/2005
New Hampshire 03/03/1992
New Jersey 09/26/1991
New Mexico 06/30/2005
New York 01/13/1983
North Carolina 05/30/2001
North Dakota 06/30/2005
Ohio 06/25/2002
Oklahoma 06/30/2005
Oregon 06/30/2005
Pennsylvania 10/11/2001
Puerto Rico 06/30/2005
Rhode Island 10/11/2001
South Carolina 06/25/2002
South Dakota 07/06/2005
Tennessee 01/01/1998
Texas 07/21/1983
Utah 06/30/2005
Vermont 12/09/1994
Virgin Islands 03/15/2007
Virginia 02/19/1992
Washington 12/13/2000
West Virginia 06/22/2005
Wisconsin 03/19/1997
Wyoming 03/29/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser