Kate Spradlin Failla
Investment Adviser Representative at Janney Montgomery Scott LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Kate Spradlin Failla is an investment adviser representative with Janney Montgomery Scott LLC in Roanoke, VA, where they have been registered since 2021. They have worked in the securities industry since 2019 and have been registered with 3 firms, including Truist Advisory Services, Inc. and Bb&t Securities, LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Virginia.
Office
Advisors at this office: 12
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Virginia
- Broker:
19 states and territories
California, Connecticut, District of Columbia, Florida, Georgia, Hawaii, Indiana, Maryland, Massachusetts, Nevada, New Mexico, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Virginia, West Virginia, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Bb&t SecuritiesJun 2019 – Feb 2021Roanoke, VA
- Longwood University AthleticsAug 2018 – May 2019Farmville, VA
- Bb&t SecuritiesMay 2018 – Aug 2018Roanoke, VA
- Longwood UniversityAug 2017 – May 2018Farmville, VA
- Virginia Amateur SportsMay 2017 – Aug 2017Roanoke, VA
- Spectrum Sports AcademyMar 2013 – May 2017Roanoke, VA
- Truist Investment Services, Inc.Feb 2021 – Sep 2021Roanoke, VA
- Truist Advisory Services, Inc.Feb 2021 – Sep 2021Roanoke, VA
- Janney Montgomery Scott LLCSep 2021 – no end date reportedRoanoke, VA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Janney Montgomery Scott LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
- Other
- Firm account minimum
- $5,000 (waivable)
- First $500,0002.00%
- Next $500,0002.00%
- Next $1,000,0002.00%
- Next $3,000,0002.00%
+3 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,330
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Philadelphia, PA
- SEC file number:
- 801-7258
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 30, 2026
View full firm profileOther advisors at Janney Montgomery Scott LLC
Showing 12 of 1,330 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kate Spradlin Failla has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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