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Amy Raisman

Janney Montgomery Scott LLC
33 Years of Experience
Ft. Lauderdale, FL
2 DisclosuresBroker
View SEC Summary
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Amy Raisman is a registered investment advisor at Janney Montgomery Scott LLC, based in Ft. Lauderdale, FL, with 33 years of industry experience. Amy 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
1340 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

200 SW First Avenue, Suite 900, Ft. Lauderdale, FL, 33301

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History

Regulatory History (2)
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
March 2015
Settled
Customer Dispute
December 2013
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Janney Montgomery Scott LLC
November 2020 - Present · 5 yrs 11 mos
Janney Montgomery Scott LLCBroker
November 2020 - Present · 5 yrs 11 mos
Previous Registrations
Bb&t Securities, LLC
March 2016 - December 2020 · 4 yrs 9 mos
Bb&t Securities, LLCBroker
March 2016 - December 2020 · 4 yrs 9 mos
Securities America Advisors, INC.
May 2009 - March 2016 · 6 yrs 10 mos
Securities America, INC.Broker
March 2009 - March 2016 · 7 yrs
NFP Securities, INC.
September 2005 - April 2009 · 3 yrs 7 mos
NFP Securities, INC.Broker
September 2005 - April 2009 · 3 yrs 7 mos
Commonwealth Financial Network
February 2005 - September 2005 · 7 mos
Commonwealth Financial NetworkBroker
January 2005 - September 2005 · 8 mos
Morgan Stanley
July 1995 - January 2005 · 9 yrs 6 mos
Morgan Stanley Dw INC.Broker
July 1995 - January 2005 · 9 yrs 6 mos
Barnett Investments, INC.Broker
July 1993 - July 1995 · 2 yrs
State Registrations28 states
AZCACOCTFLGAIDILKYLAMAMDMINCNHNJNVNYOHORPASCTNTXVAVTWAWY
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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