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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)41 years in industry

DAVID STUART PENN

Advisor at JANNEY MONTGOMERY SCOTT LLC

Bryn Mawr, PA | Miami Beach, FL

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Search this name across graphsid dfx:ria:d7613d7e-267f-2d59-db04-cd4e56ba2c8c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 29, 1992 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: Dec 27, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 7
Designations: Chartered Financial Analyst
Exams: S63|S65
First exam: Dec 27, 1984
First registration: Apr 29, 1992
Dual registered: yes, broker-dealer
IAPD individual key: 1284964

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	May 12, 2009	n/a	yes	Miami Beach, FL\|Bryn Mawr, PA	Current employment
FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC	Independent wealth	Oct 3, 2008	May 7, 2009	no	NEW YORK, NY	Previous registration
CLEARBRIDGE INVESTMENTS, LLC	Mixed wealth	May 29, 2007	May 7, 2009	no	NEW YORK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 8, 2005	Jun 14, 2007	no	NEW HAVEN, CT\|BALTIMORE, MD\|NEW YORK, NY	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Apr 29, 1992	Feb 21, 2006	no	BALTIMORE, MD	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
CLEARBRIDGE INVESTMENTS, LLC	FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC	May 7, 2009	Oct 3, 2008	-216	Firm change after gap	Other
FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC	JANNEY MONTGOMERY SCOTT LLC	May 7, 2009	May 12, 2009	5	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	CLEARBRIDGE INVESTMENTS, LLC	Jun 14, 2007	May 29, 2007	-16	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Dec 8, 2005	-75	Bulk transfer	Other

Relationships

Registered with (5)

→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: current employment
May 12, 2009 to presentfactForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 29, 2007 to May 7, 2009factForm ADV
→ FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLCRegistered adviserregistration: previous registration
Oct 3, 2008 to May 7, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 8, 2005 to Jun 14, 2007factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Apr 29, 1992 to Feb 21, 2006factForm ADV

Dated events

No dated event names this entity yet.