Career
Caroline Hall has been Chief Compliance Officer of Janney Montgomery Scott since March 2021. Caroline Hall is not listed as a control person, but directly owns under 5% of the firm. Caroline Hall holds a Bachelor’s degree in Political Science and Psychology from Vanderbilt University and a Juris Doctor from Hofstra University School of Law.
Janney Montgomery Scott LLC is a Philadelphia, PA firm with $110B under management, 243,808 clients and 1,614 advisers across 139 offices, as of its June 2026 filing.
Janney’s biography says Caroline Hall is its chief compliance officer and deputy general counsel. Previously, she was associate general counsel and lead regulatory counsel at Raymond James Financial, held roles at UBS Financial Services, and represented the financial services industry in private practice in New York.
No adviser firm registrations are on Caroline Hall’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 25 February 2021 |
| SIE | Securities Industry Essentials Examination | 21 August 2020 |
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
Individual record
- Full name
- Caroline Kathryne Hall
- CRD
- 6342772
- Firm bio
- janney.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Caroline Hall work?
Caroline Hall has been Chief Compliance Officer of Janney Montgomery Scott LLC since March 2021.
Does Caroline Hall have a current investment-adviser registration?
Caroline Hall has a current broker registration and no current investment-adviser registration.
What exams has Caroline Hall passed?
Caroline Hall has passed 2 licensing exams: the SIE and Series 14. The earliest, the SIE, was passed in August 2020.
