# EDGAR Filing Document

**Accession Number:** 0000200401
**File Stem:** 0000200401-26-000013
**Filing Date:** 2026-2
**Character Count:** 25288
**Document Hash:** 9de6bdbac0bbeb00a0feb1d734c6c30a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000200401-26-000013.hdr.sgml**: 20260227

**ACCESSION NUMBER**: 0000200401-26-000013

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260227

**DATE AS OF CHANGE**: 20260227

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** JANNEY MONTGOMERY SCOTT LLC
- **CENTRAL INDEX KEY:** 0000200401

**ORGANIZATION NAME:**
- **EIN:** 230731260
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01329
- **FILM NUMBER:** 26699832

**BUSINESS ADDRESS:**
- **STREET 1:** 1717 ARCH STREET
- **CITY:** PHILADELPHIA
- **STATE:** PA
- **ZIP:** 19103
- **BUSINESS PHONE:** 215-665-6086

**MAIL ADDRESS:**
- **STREET 1:** 1717 ARCH STREET
- **CITY:** PHILADELPHIA
- **STATE:** PA
- **ZIP:** 19103

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** JANNEY MONTGOMERY SCOTT LLC                             /BD
- **DATE OF NAME CHANGE:** 20020315

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** JANNEY MONTGOMERY SCOTT INC
- **DATE OF NAME CHANGE:** 19990907

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SCOTT JANNEY MONTGOMERY INC
- **DATE OF NAME CHANGE:** 19940824

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000200401

**Filer CCC:** XXXXXXXX

**Contact Name:** Joanne Haley

**Contact Phone:** 215-665-4532

**Contact Email:** jhaley@janney.com

**Notification Emails:** ctalbott@janney.com, acook@janney.com, jabdalla@janney.com, jgatherer@janney.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** JANNEY MONTGOMERY SCOTT LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 463

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 23-0731260

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00225-00

- **Municipal Advisor:** SEC File No: 867-01329

- **Broker-Dealer:** SEC File No: 008-00462, CRD No: 463

- **SEC-Registered Investment Adviser:** SEC File No: 801-7258, CRD No: 463

**Additional Registrations:**

- **National Futures Association (NFA) as IB:** 0086184

**E. Principal Office and Place of Business:** 1717 ARCH STREET, PHILADELPHIA, PA, 19103

**Telephone Number:** 215-665-6000

**Additional Offices of Employment:**

- **Office #1 (Add):** 1166 Avenue of the Americas, 21 Fl, New York, NY, 10036 | Phone: 212-906-1950

- **Office #2 (Add):** One PPG Place, Suite 2200, Pittsburgh, PA, 15222 | Phone: 412-562-8000

- **Office #3 (Add):** 1337 Third Street, Beaver, PA, 15009 | Phone: 724-728-0400

- **Office #4 (Add):** 150 Radnor-Chester Road, Suite B-100, Radnor, PA, 19087 | Phone: 610-254-0012

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.janney.com

**G. Chief Compliance Officer (CCO):**

**Name:** Caroline Kathryn Hall

**Address:** 1717 Arch Street, 19th Floor, Philadelphia, PA, 19103

**Phone Number:** 215-665-6454

**Email:** ckhall@janney.com

**H. Business Affiliates:**

- **Name:** Janney Capital Management

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

- **Name:** Horner, Townsend & Kent, Inc

  - **Issuing Agency:** FINRA

  - **Jurisdiction:** 

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 08-27-1999

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 2391

**B. Municipal Advisory Activities - Employees:** 9

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 9

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 1

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 30

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
Other
, Fixed Fees, Contingent Fees, Other

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Solicitation Of IAB, Solicitation Other, Advice On Selection, Brokerage Of MEI

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Trust Company:** Actively Engaged: Yes, Primary Business: —

- **Insurance:** Actively Engaged: Yes, Primary Business: —

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: —

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Trust Company, Insurance company or agency, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser

**Total Associated Persons:** 2

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** Yes

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** Yes

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                    | Title/Status                 | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| June Purchaser LLC      | Shareholder                  | 11-29-2024      | E - 75% or more   | No                | 99-4132644   |  |
| Anthony Mathew Miller   | President & CEO              | 12-01-2007      | NA - less than 5% | Yes               |  | 4597116      |
| Gregory Burns McShea    | General Counsel              | 12-01-2012      | NA - less than 5% | No                |  | 2870963      |
| Daneen Elizabeth Downey | Deputy General Counsel       | 06-01-2015      | NA - less than 5% | No                |  | 4758790      |
| Michael J Hricko        | Chief Financial Office       | 02-01-2023      | NA - less than 5% | No                |  | 4509746      |
| Kevin Jude Reed         | Executive Officer            | 01-01-2023      | NA - less than 5% | No                |  | 2105832      |
| Caroline Kathryne Hall  | Chief Compliance Officer     | 03-01-2021      | NA - less than 5% | No                |  | 6342772      |
| Christopher NMI Fusco   | ROSFP                        | 03-01-2021      | NA - less than 5% | No                |  | 5858082      |
| David Michael Mullan    | Principal Operations Officer | 10-01-2018      | NA - less than 5% | No                |  | 2739186      |
| Joseph David Culley     | Banking Principal            | 10-01-2018      | NA - less than 5% | No                |  | 4275987      |
| Jessica Ellen Lempa     | IA CCO                       | 05-01-2018      | NA - less than 5% | No                |  | 5276453      |

### Schedule B: Indirect Owners

| Owning Entity          | Name                   | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   | IRS Number   |
|:---|:---|:---|:---|:---|:---|:---|
| June Purchaser, LLC    | June Holdco, LLC       | Shareholder    | 11-29-2024      | E - 75% or more  | Yes               | 99-4241408   |
| June Holdco, LLC       | June Intermediate, LLC | Shareholder    | 11-29-2024      | E - 75% or more  | Yes               | 99-4241220   |
| June Intermediate, LLC | June Topco, LLC        | Shareholder    | 11-29-2024      | E - 75% or more  | Yes               | 99-4133355   |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity          | Name                    | Title/Status                 | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | June Purchaser LLC      | Shareholder                  | 11-29-2024      | E - 75% or more   | No                | 99-4132644   |  |
|  | Indirect    | June Purchaser, LLC    | June Holdco, LLC        | Shareholder                  | 11-29-2024      | E - 75% or more   | Yes               | 99-4241408   |  |
|  | Indirect    | June Holdco, LLC       | June Intermediate, LLC  | Shareholder                  | 11-29-2024      | E - 75% or more   | Yes               | 99-4241220   |  |
|  | Indirect    | June Intermediate, LLC | June Topco, LLC         | Shareholder                  | 11-29-2024      | E - 75% or more   | Yes               | 99-4133355   |  |
|  | Direct      |  | Anthony Mathew Miller   | President & CEO              | 12-01-2007      | NA - less than 5% | Yes               |  | 4597116      |
|  | Direct      |  | Gregory Burns McShea    | General Counsel              | 12-01-2012      | NA - less than 5% | No                |  | 2870963      |
|  | Direct      |  | Daneen Elizabeth Downey | Deputy General Counsel       | 06-01-2015      | NA - less than 5% | No                |  | 4758790      |
|  | Direct      |  | Michael J Hricko        | Chief Financial Office       | 02-01-2023      | NA - less than 5% | No                |  | 4509746      |
|  | Direct      |  | Kevin Jude Reed         | Executive Officer            | 01-01-2023      | NA - less than 5% | No                |  | 2105832      |
|  | Direct      |  | Caroline Kathryne Hall  | Chief Compliance Officer     | 03-01-2021      | NA - less than 5% | No                |  | 6342772      |
|  | Direct      |  | Christopher NMI Fusco   | ROSFP                        | 03-01-2021      | NA - less than 5% | No                |  | 5858082      |
|  | Direct      |  | David Michael Mullan    | Principal Operations Officer | 10-01-2018      | NA - less than 5% | No                |  | 2739186      |
|  | Direct      |  | Joseph David Culley     | Banking Principal            | 10-01-2018      | NA - less than 5% | No                |  | 4275987      |
|  | Direct      |  | Jessica Ellen Lempa     | IA CCO                       | 05-01-2018      | NA - less than 5% | No                |  | 5276453      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1663764

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1639570

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1621893

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1608660

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scoyy LLC

- **CRD Number:** 463

- **Disclosure Number:** 1608656

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1592346

**Regulatory DRP for: Applicant (Responding to Questions: 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1570951

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1562181

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1559332

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1535784

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1493080

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1455351

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1364606

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1362390

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1337139

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1322885

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1265937

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1251859

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1229833

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1225983

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1225982

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1198566

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1111976

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1111795

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1030094

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 992232

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 719484

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 275233

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4, 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 182234

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 112138

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 112137

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 112136

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 112135

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 112134

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 112132

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 112131

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1713594

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1747469

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1804352

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1836530

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1864308

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1893737

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 1621893

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 2086722

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott, LLC

- **CRD Number:** 463

- **Disclosure Number:** 2092445

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 2123038

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 2235297

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 2244199

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 2349681

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 2030649

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 2021490

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Janney Montgomery Scott LLC

- **CRD Number:** 463

- **Disclosure Number:** 2020183

### Execution Page

**Signature:** Caroline Hall

**Signer Name:** Caroline Hall

**Title:** Chief Compliance Officer

**Date:** 02-27-2026

**CRD Number:** 6342772