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James Elliott

Janney Montgomery Scott LLC
34 Years of Experience
Westbrook, CT
1 DisclosureBroker
View SEC Summary
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James Elliott is a registered investment advisor at Janney Montgomery Scott LLC, based in Westbrook, CT, with 34 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 243,808 clients with $110B in assets under management.

Janney Montgomery Scott LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1336 advisors
Number of Clients
243,808 clients
Average Client Portfolio
$452K average
Assets Under Management
$110.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5.0M - $10.0M2.00%
$10.0M - $25.0M2.00%
$25M+2.00%

Fees represent maximum financial advisor fees; additional third-party manager sub-advisory fees may apply depending on the program. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1551 Boston Post Road, 2nd Floor, Westbrook, CT, 06498

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is an endowment committee member for Kingston Congregational Church, providing insight for the endowment fund manager since 2008. This activity is not investment-related and requires minimal time.

Employment History
Current Registrations
Janney Montgomery Scott LLC
November 2024 - Present · 1 yr 11 mos
Janney Montgomery Scott LLCBroker
November 2024 - Present · 1 yr 11 mos
Previous Registrations
Osaic Institutions, INC.
October 2016 - November 2024 · 8 yrs 1 mo
Osaic Institutions, INC.Broker
October 2016 - November 2024 · 8 yrs 1 mo
Commonwealth Financial NetworkBroker
August 2012 - October 2016 · 4 yrs 2 mos
Commonwealth Financial Network
August 2012 - October 2016 · 4 yrs 2 mos
Cco Investment Services CORP.
March 2007 - August 2012 · 5 yrs 5 mos
Cco Investment Services CORP.Broker
March 2007 - August 2012 · 5 yrs 5 mos
CUNA Brokerage Services, INC.
June 2003 - February 2007 · 3 yrs 8 mos
CUNA Brokerage Services, INC.Broker
June 2003 - February 2007 · 3 yrs 8 mos
Quick & Reilly, INC.
December 2002 - June 2003 · 6 mos
Quick & Reilly, INC.Broker
September 2000 - June 2003 · 2 yrs 9 mos
Fis Securities, INC.Broker
August 1996 - September 2000 · 4 yrs 1 mo
Mds Securities IncorporatedBroker
January 1996 - August 1996 · 7 mos
440 Financial Distributors, INC.Broker
October 1995 - December 1995 · 2 mos
American Express Financial Advisors INC.Broker
September 1992 - October 1995 · 3 yrs 1 mo
Ids Life Insurance CompanyBroker
September 1992 - October 1995 · 3 yrs 1 mo
State Registrations17 states
CACTFLGAILINMAMEMINCNHNYPARISCVAWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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