CRD #463 · FINRA BrokerCheck + SEC IAPD

Janney Montgomery Scott LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Janney Montgomery Scott LLC ranks #37 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #1 of 81 on the same disclosure sort used on the state browse page. Janney Montgomery Scott LLC carries 120 BrokerCheck disclosures across 211 branch offices - moderate load for a large firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
211
branch offices
120
disclosures
#37 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 463 Janney Montgomery Scott LLC

Janney Montgomery Scott LLC · Grade C · 120 disc · 0.57/office · Large firm

  • CRD 463
  • GRADE C
  • DISC 120
  • REG 54
  • ARB 66
  • CIV 0
  • BRANCH 211
  • PER-OFF 0.57
  • RANK #37 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Bofa Securities, Inc. (0.59 disc/office)

Bofa Securities, Inc.0.59Nomura Securities Inter…0.66Oppenheimer & Co. Inc.0.45Janney Montgomery S… (this)0.57
Disclosures per office among large firm peers (lower is cleaner)

Janney Montgomery Scott LLC ranks #37 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.57 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

211 offices

FINRA: Large firm

Total disclosures

120 events

On FINRA BrokerCheck

Regulatory events

54 actions

45% of all disclosures

Disclosures per office

0.57 per office

120 ÷ 211 offices

Janney Montgomery Scott LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 44% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 54
Arbitrations 66
Civil Events 0
Total 120

Counts for Janney Montgomery Scott LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 54 Arbitration 66 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Philadelphia, PA
CRD Number
463

Heavy disclosure book

Janney Montgomery Scott LLC in the heavier-disclosure third

Janney Montgomery Scott LLC carries 120 BrokerCheck disclosures across 211 branch offices - a heavier-third raw book among graded firms (#37 of 20,055). Mix is 54 regulatory, 66 arbitration, and 0 civil (45% regulator share).

Janney Montgomery Scott LLC ranks #37 of 20,055 by BrokerCheck disclosure count among graded firms (120 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Janney Montgomery Scott LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Pennsylvania cohort · 19× state average

Janney Montgomery Scott LLC sits above the Pennsylvania disclosure average

Janney Montgomery Scott LLC reports 120 BrokerCheck disclosures, 19× the Pennsylvania average of 6.4 across 81 graded firms with a principal-office state on file.

In Pennsylvania, 39 firms carry Grade A and 3 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Pennsylvania state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Janney Montgomery Scott LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Janney Montgomery Scott LLC ranks #37 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #1 of 81 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Janney Montgomery Scott LLC?
A grade of C reflects Janney Montgomery Scott LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 120 total disclosures across 211 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Janney Montgomery Scott LLC have?
Janney Montgomery Scott LLC has 120 total FINRA disclosures, including 54 regulatory events, 66 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Janney Montgomery Scott LLC?
Janney Montgomery Scott LLC operates 211 branch offices and is classified by FINRA as a large firm, registered in PA (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Janney Montgomery Scott LLC's disciplinary record?
You can verify Janney Montgomery Scott LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 463. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Janney Montgomery Scott LLC's 120 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Janney Montgomery Scott LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Janney Montgomery Scott LLC carries 120 disclosures across 211 branch offices (about 0.57 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Janney Montgomery Scott LLC, both outside PA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Similar disclosure totals

Nearest cross-state graded firms by BrokerCheck disclosure count (120 here).

Interactive Brokers LLC · CT 118 disc. SG Americas Securities, LLC · NY 115 disc. Pershing LLC · NJ 106 disc. Jefferies LLC · NY 137 disc.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.