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CFP

Robert Shealy

Janney Montgomery Scott LLC
32 Years of Experience
Columbia, SC
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Robert Shealy is a CFP-designated registered investment advisor at Janney Montgomery Scott LLC, based in Columbia, SC, with 32 years of industry experience. Robert 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

1441 Main Street, Suite 700, Columbia, SC, 29201

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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.
Employment Separation After Allegations
June 2018
Customer Dispute
May 2014
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Janney Montgomery Scott LLC
August 2018 - Present · 8 yrs 2 mos
Janney Montgomery Scott LLCBroker
July 2018 - Present · 8 yrs 3 mos
Previous Registrations
Janney Montgomery Scott LLC
July 2018 - August 2018 · 1 mo
Wells Fargo Clearing Services, LLC
February 2010 - July 2018 · 8 yrs 5 mos
Wells Fargo Clearing Services, LLCBroker
February 2010 - July 2018 · 8 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - February 2010 · 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - February 2010 · 4 mos
Banc of America Investment Services, INC.
January 1998 - October 2009 · 11 yrs 9 mos
Banc of America Investment Services, INC.Broker
January 1998 - October 2009 · 11 yrs 9 mos
NationssecuritiesBroker
December 1993 - January 1998 · 4 yrs 1 mo
State Registrations22 states
AZCADCDEFLGAIDILINMDNCNENHNYOHOKSCTNTXUTVAWV
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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