Individual Firm
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DAVID BRUCE MOSS
CRD#: 1000478
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 2150 POST ROAD
2ND FLOOR
FAIRFIELD, CT 06824-5669
2ND FLOOR
FAIRFIELD, CT 06824-5669
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9/11/2014
Customer Dispute
Settled
State Registrations
B
Arizona 4/24/2017
B
New Mexico 4/24/2017
B
California 5/14/2024
B
New York 4/24/2017
B
Connecticut 4/24/2017
B
North Carolina 10/28/2019
IA
Connecticut 4/24/2017
B
Ohio 5/14/2024
B
Delaware 4/25/2023
B
Oregon 8/20/2024
B
Florida 4/24/2017
B
Pennsylvania 4/24/2017
B
Georgia 4/27/2017
B
South Carolina 11/30/2021
B
Illinois 4/24/2017
B
Tennessee 11/14/2022
B
Missouri 1/30/2023
B
Wisconsin 10/17/2022
B
New Jersey 4/24/2017
SRO Registrations
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/24/2017
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Registered with this firm since 4/24/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/04/2004 - 05/03/2017 | NEWTOWN, CT | |
B | 11/04/2004 - 05/03/2017 | NEWTOWN, CT | |
IA | 02/15/2002 - 11/01/2004 | DANBURY, CT | |
B | 09/14/2000 - 11/01/2004 | PURCHASE, NY | |
B | 08/28/1990 - 09/20/2000 | NEW CANAAN, CT | |
B | 07/25/1987 - 07/19/1988 | ||
B | 06/26/1981 - 05/27/1987 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.