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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

JAMES MURRAY ELLIOTT

Advisor at JANNEY MONTGOMERY SCOTT LLC

Westbrook, CT | Mystic, CT

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Search this name across graphsid dfx:ria:97de2065-133a-30fc-d677-187fc24a5d5f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 4, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: JANNEY MONTGOMERY SCOTT LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 23, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 23, 1992
First registration: Dec 4, 2002
Dual registered: yes, broker-dealer
Other names: JIM MURRAY ELLIOTT
IAPD individual key: 2276124

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Nov 20, 2024	n/a	yes	Westbrook, CT\|Mystic, CT	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Oct 20, 2016	Nov 20, 2024	no	MYSTIC, CT\|Norwich, CT\|Pawcatuck, CT	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Aug 1, 2012	Oct 13, 2016	no	NORTH KINGSTOWN, RI\|Wakefield, RI	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Mar 2, 2007	Aug 1, 2012	no	WAKEFIELD, RI\|WESTERLY, RI\|NARRAGANSETT, RI\|WESTERLY, RI\|NARRAGANSETT, RI	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Jun 13, 2003	Feb 27, 2007	no	WESTERLY, RI\|WESTERLY, RI	Previous registration
QUICK & REILLY, INC.	n/a	Dec 4, 2002	Jun 10, 2003	no	PROVIDENCE, RI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC INSTITUTIONS, INC.	JANNEY MONTGOMERY SCOTT LLC	Nov 20, 2024	Nov 20, 2024	0	Firm change	Ibd to ibd
COMMONWEALTH FINANCIAL NETWORK	OSAIC INSTITUTIONS, INC.	Oct 13, 2016	Oct 20, 2016	7	Firm change	Other
CITIZENS SECURITIES, INC.	COMMONWEALTH FINANCIAL NETWORK	Aug 1, 2012	Aug 1, 2012	0	Firm change	Other
CUNA BROKERAGE SERVICES, INC.	CITIZENS SECURITIES, INC.	Feb 27, 2007	Mar 2, 2007	3	Firm change	Other
QUICK & REILLY, INC.	CUNA BROKERAGE SERVICES, INC.	Jun 10, 2003	Jun 13, 2003	3	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
35371:463:CT:2024-11-20	Nov 20, 2024	Nov 20, 2024	PAWCATUCK, CT	Firm change

Relationships

Registered with (6)

→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: current employment
Nov 20, 2024 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Oct 20, 2016 to Nov 20, 2024factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Aug 1, 2012 to Oct 13, 2016factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Mar 2, 2007 to Aug 1, 2012factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Jun 13, 2003 to Feb 27, 2007factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Dec 4, 2002 to Jun 10, 2003factForm ADV

Dated events

Occurred
Nov 20, 2024
Advisor changed firm
James Murray Elliott left Osaic Institutions, Inc. for Janney Montgomery Scott Llc (registered 2024-11-20)
Form ADVobserved 4 days ago