TrueAdvisor
TrueAdvisor
KG
KG

Kathryn Genovese

Janney Montgomery Scott LLC
25 Years of Experience
Westbrook, CT
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Kathryn Genovese is a registered investment advisor at Janney Montgomery Scott LLC, based in Westbrook, CT, with 25 years of industry experience. Kathryn 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

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

Get directions

History

Regulatory History (3)
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
August 2016
Denied
Customer Dispute
February 2011
Denied
Customer Dispute
November 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kathryn is the Girls Coordinator/Board Member for CT River Lacrosse, starting in 2020. She coordinates the program roster, schedules, and other logistics, dedicating a few hours per week to this uncompensated, non-investment related activity.

Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
June 2024 - Present · 2 yrs 4 mos
Janney Montgomery Scott LLC
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Citizens Securities, INC.
August 2016 - June 2024 · 7 yrs 10 mos
Citizens Securities, INC.Broker
August 2016 - June 2024 · 7 yrs 10 mos
LPL Financial LLC
July 2012 - September 2016 · 4 yrs 2 mos
LPL Financial LLCBroker
July 2012 - September 2016 · 4 yrs 2 mos
Cco Investment Services CORP.Broker
September 2006 - July 2012 · 5 yrs 10 mos
Cco Investment Services CORP.
September 2006 - July 2012 · 5 yrs 10 mos
Merrill Lynch Pierce Fenner & Smith INC.
April 2005 - August 2006 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2005 - August 2006 · 1 yr 4 mos
Banc of America Investment Services, INC.
October 2004 - April 2005 · 6 mos
Banc of America Investment Services, INC.Broker
October 2004 - April 2005 · 6 mos
Quick & Reilly, INC.
September 2004 - October 2004 · 1 mo
Quick & Reilly, INC.Broker
June 2001 - October 2004 · 3 yrs 4 mos
State Registrations18 states
CACTFLGAILINMAMINCNHNYPARISCTXVAVTWY
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.
More Advisors
More financial advisors in Westbrook, CT →All financial advisors in Connecticut →