Individual Firm
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PATRICK JOSEPH MAAS
PATRICK MAAS
CRD#: 1032136
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 1001 FRANKLIN AVENUE
SUITE 202
GARDEN CITY, NY 11530
SUITE 202
GARDEN CITY, NY 11530
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Customer Dispute
Settled
State Registrations
B
California 1/6/2020
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New York 4/8/2021
B
Connecticut 11/20/2002
B
Oklahoma 1/10/2020
B
District of Columbia 11/2/2011
B
Pennsylvania 11/20/2002
B
Florida 11/16/2011
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Pennsylvania 4/10/2006
B
Georgia 3/14/2019
B
Tennessee 11/4/2024
B
Massachusetts 10/16/2017
B
Texas 1/30/2019
B
Michigan 1/8/2020
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Texas 1/30/2019
B
Nevada 1/24/2020
B
Vermont 1/6/2020
B
New Jersey 11/20/2002
B
Virginia 11/2/2017
B
New York 11/20/2002
B
Washington 1/6/2020
SRO Registrations
B
B
B
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Registered with this firm since 4/10/2006
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Registered with this firm since 11/20/2002
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/06/1989 - 11/08/2002 | NEW YORK, NY | |
B | 04/11/1983 - 02/09/1989 | ||
B | 05/11/1982 - 04/19/1983 |
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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.
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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.