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Detailed Report
JASON RICHARD WOLFF
CRD#: 4016540
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 4064 Colony Road
Two Morrocroft Centre, Suite 450
CHARLOTTE, NC 28211
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 1999 (<1 year)2 FIRMS2020 - Present (4 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2002 - 2020 (18 years)BWACHOVIA SECURITIES, INC. (CRD# 431)2002 - 2002 (<1 year)BFIRST UNION SECURITIES, INC. (CRD# 19616)2000 - 2002 (1 year)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)2000 - 2000 (<1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2003 - 2020 (16 years)
Disclosure(s)
View By:
8/27/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/27/2020
B
North Carolina 10/30/2020
B
Connecticut 10/27/2020
B
Ohio 10/27/2020
B
Florida 10/27/2020
B
Pennsylvania 10/27/2020
B
Georgia 10/27/2020
B
South Carolina 10/27/2020
B
Indiana 11/5/2020
IA
South Carolina 11/5/2020
B
Kansas 11/4/2020
B
Tennessee 6/23/2022
B
Montana 4/5/2021
B
Texas 10/27/2020
B
Nevada 4/17/2023
IA
Texas 10/27/2020
B
New Jersey 6/28/2023
B
Utah 10/27/2020
B
New York 10/27/2020
B
Virginia 10/27/2020
IA
North Carolina 10/27/2020
B
West Virginia 2/7/2024

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)
4064 Colony Road Two Morrocroft Centre, Suite 450, CHARLOTTE, NC 28211
Registered with this firm since 10/27/2020
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
4064 Colony Road Two Morrocroft Centre, Suite 450, CHARLOTTE, NC 28211
Registered with this firm since 10/27/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/19/2003 - 10/29/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WESLEY CHAPEL, NC
B
 06/15/2002 - 10/29/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WESLEY CHAPEL, NC
B
 06/13/2002 - 06/15/2002 WACHOVIA SECURITIES, INC. (CRD#:431) CHARLOTTE, NC
B
 10/01/2000 - 03/22/2002 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 01/18/2000 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 09/16/1999 - 10/27/1999 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 09/16/1999 - 10/27/1999 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.