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Detailed Report
CAROL ANN MANSOUR-EZZELL
CAROL MANSOUR EZZELL, CAROL ANN MANSOUR
CRD#: 1028092
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 4064 Colony Road
Two Morrocroft Centre, Suite 450
CHARLOTTE, NC 28211
Registration History
1985199019952000200520102015202020252 FIRMS2004 - Present (20 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2004 (3 years)BJ.C. BRADFORD & CO. (CRD# 1287)1988 - 2000 (11 years)BJ.C. BRADFORD & CO. (CRD# 1287)1988 - 1988 (<1 year)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1982 - 1988 (6 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2003 - 2004 (<1 year)
License(s)

State Registrations

B
Alabama 3/2/2004
B
Mississippi 2/17/2005
B
Arizona 1/5/2010
B
North Carolina 3/2/2004
B
California 3/2/2004
IA
North Carolina 12/17/2004
IA
California 1/3/2011
B
South Carolina 3/2/2004
B
Florida 3/2/2004
B
Texas 1/23/2014
B
Georgia 3/2/2004
IA
Texas 6/5/2018
B
Illinois 7/29/2008
B
Washington 2/8/2018

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
4064 Colony Road Two Morrocroft Centre, Suite 450, CHARLOTTE, NC 28211
Registered with this firm since 12/17/2004
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
4064 Colony Road Two Morrocroft Centre, Suite 450, CHARLOTTE, NC 28211
Registered with this firm since 3/2/2004
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/24/2003 - 03/11/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHARLOTTE, NC
B
 08/14/2000 - 03/11/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 11/15/1988 - 08/14/2000 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
B
 10/24/1988 - 11/15/1988 J.C. BRADFORD & CO. (CRD#:1287)
B
 01/25/1982 - 11/03/1988 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.