Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SANDRA CUMMINGS
SANDRA GARCIA
CRD#: 4910544
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 475 Kilvert Street
Suite 330
Warwick, RI 02886
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2005 (<1 year)2 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - 2017 (7 years)2 FIRMS2017 - Present (7 years)
License(s)

State Registrations

B
Alabama 11/19/2024
B
New Hampshire 9/6/2017
B
Arizona 9/6/2017
B
New Jersey 9/6/2017
B
California 9/6/2017
B
New Mexico 3/13/2023
B
Colorado 9/6/2017
B
New York 9/6/2017
B
Connecticut 9/6/2017
B
North Carolina 9/6/2017
B
District of Columbia 9/6/2017
B
Ohio 3/13/2023
B
Florida 9/6/2017
B
Oregon 3/13/2023
B
Georgia 11/30/2021
B
Pennsylvania 9/6/2017
B
Hawaii 9/6/2017
B
Rhode Island 9/6/2017
B
Iowa 3/13/2023
IA
Rhode Island 9/6/2017
B
Maine 9/6/2017
B
South Carolina 9/6/2017
B
Maryland 9/6/2017
B
Tennessee 8/29/2019
B
Massachusetts 9/6/2017
B
Texas 9/6/2017
B
Michigan 1/14/2020
IA
Texas 9/6/2017
B
Minnesota 10/20/2020
B
Vermont 9/6/2017
B
Montana 3/13/2023
B
Virginia 9/6/2017
B
Nebraska 3/13/2023
B
Washington 9/6/2017
B
Nevada 10/29/2020
B
Wisconsin 3/13/2023

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)
475 Kilvert Street Suite 330, Warwick, RI 02886
Registered with this firm since 9/6/2017
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
475 Kilvert Street Suite 330, Warwick, RI 02886
Registered with this firm since 9/6/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2009 - 09/07/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PROVIDENCE, RI
B
 10/23/2009 - 09/07/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PROVIDENCE, RI
IA
 10/27/2005 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PROVIDENCE, RI
B
 10/27/2005 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PROVIDENCE, RI
IA
 05/25/2005 - 08/17/2005 MORGAN STANLEY (CRD#:7556) PROVIDENCE, RI
B
 03/25/2005 - 08/17/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.