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Noel Simons

Janney Montgomery Scott LLC
26 Years of Experience
Charlotte, NC
1 DisclosureBroker
View SEC Summary
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Noel Simons is a registered investment advisor at Janney Montgomery Scott LLC, based in Charlotte, NC, with 26 years of industry experience. Noel 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

4064 Colony Road, Two Morrocroft Centre, Suite 450, Charlotte, NC, 28211

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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
April 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Noel is involved with Burnt Thumb Ventures, LLC and Lease Land, both located in Charlotte, NC. These activities are not investment-related and require minimal time commitment.

Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
February 2021 - Present · 5 yrs 8 mos
Janney Montgomery Scott LLC
February 2021 - Present · 5 yrs 8 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
November 2015 - February 2021 · 5 yrs 3 mos
Wells Fargo Clearing Services, LLC
November 2015 - February 2021 · 5 yrs 3 mos
Bb&t Securities, LLCBroker
January 2013 - November 2015 · 2 yrs 10 mos
Bb&t Securities, LLC
January 2013 - November 2015 · 2 yrs 10 mos
Scott & Stringfellow, LLC
November 2007 - January 2013 · 5 yrs 2 mos
Scott & Stringfellow, LLCBroker
November 2007 - January 2013 · 5 yrs 2 mos
Banc of America Investment Services, INC.
August 2003 - November 2007 · 4 yrs 3 mos
Banc of America Investment Services, INC.Broker
February 2003 - November 2007 · 4 yrs 9 mos
Bacap Distributors, LLCBroker
March 2001 - February 2003 · 1 yr 11 mos
Allmerica Investments, INC.Broker
September 2000 - April 2001 · 7 mos
First Investors CorporationBroker
April 2000 - June 2000 · 2 mos
State Registrations16 states
AKAZFLGAHIKYNCNVOHOKPASCTNTXVAWA
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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