Kate Failla, financial advisor Roanoke VA

Kate Failla

CRD Number: 6954865
Current Firm: Janney Montgomery Scott LLC

Kate Failla (CRD# 6954865) is an Investment Advisor Representative working at Janney Montgomery Scott LLC in Roanoke, VA and has over 4 years of experience in the finance industry. Kate Failla has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Janney Montgomery Scott LLC Roanoke, VA Sep 2021 - Current 2
Truist Investment Services, Inc. Roanoke, VA Feb 2021 - Sep 2021 < 1
Truist Advisory Services, Inc. Roanoke, VA Feb 2021 - Sep 2021 < 1
Bb&t Securities Roanoke, VA Jun 2019 - Feb 2021 1
Longwood University Athletics Farmville, VA Aug 2018 - May 2019 < 1
Bb&t Securities Roanoke, VA May 2018 - Aug 2018 < 1
Longwood University Farmville, VA Aug 2017 - May 2018 < 1
Virginia Amateur Sports Roanoke, VA May 2017 - Aug 2017 < 1
Spectrum Sports Academy Roanoke, VA Mar 2013 - May 2017 4
Lord Botetourt High School Daleville, VA Aug 2011 - May 2015 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2019
Contact Info for Kate S. Failla
Phone Number: 215-665-6000
Registered State(s):
  • VA
By the Numbers
  • Total Assets Under Management
    85,895
    MILLIONS
  • Total Number of Accounts
    226,034
    ACCOUNTS
  • Average Account Value
    $380,010
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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