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Detailed Report
ROBERT NEIL SHULMAN
CRD#: 1454111
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 701 East Gate Drive
Suite 210
Mt. Laurel, NJ 08054
Registration History
19901995200020052010201520202025IAJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2018 - Present (6 years)BJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2009 - Present (16 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1991 - 2006 (14 years)BWHEAT, FIRST SECURITIES, INC. (CRD# 6124)1991 - 1991 (<1 year)BBUTCHER & SINGER INC. (CRD# 6517)1986 - 1991 (5 years)
Disclosure(s)
View By:
3/16/2012
Customer Dispute
Denied
4/28/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/16/2009
B
New Mexico 2/12/2025
B
California 1/16/2009
B
New York 1/16/2009
B
Colorado 4/23/2019
IA
New York 3/2/2025
B
Connecticut 2/12/2025
B
North Carolina 12/9/2015
B
Delaware 2/9/2009
B
Ohio 3/18/2022
B
District of Columbia 2/5/2009
B
Oregon 2/12/2025
B
Florida 1/16/2009
B
Pennsylvania 1/16/2009
B
Georgia 8/22/2024
B
Rhode Island 2/12/2025
B
Illinois 2/12/2025
B
South Carolina 2/12/2025
B
Maryland 2/22/2016
B
Tennessee 2/12/2025
B
Massachusetts 1/16/2009
B
Texas 1/16/2009
B
Minnesota 11/28/2022
IA
Texas 7/24/2018
B
Montana 2/12/2025
B
Virginia 1/16/2009
B
New Jersey 1/16/2009
B
Washington 9/20/2022
IA
New Jersey 7/25/2018

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
701 East Gate Drive Suite 210, Mt. Laurel, NJ 08054
Medford, NJ
Registered with this firm since 7/24/2018
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
701 East Gate Drive Suite 210, Mt. Laurel, NJ 08054
Medford, NJ
Registered with this firm since 1/16/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/21/2006 - 02/09/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MARLTON, NJ
B
 11/15/1991 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 01/01/1991 - 11/20/1991 WHEAT, FIRST SECURITIES, INC. (CRD#:6124) CHARLOTTE, NC
B
 01/21/1986 - 01/01/1991 BUTCHER & SINGER INC. (CRD#:6517)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.