Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOSEPH MELVILLE BROUGHTON III
JOSEPH MELVILLE BROUGHTON, MEL BROUGHTON III
CRD#: 1140958
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 4140 PARKLAKE AVENUE
GLENLAKE ONE, SUITE 300
RALEIGH, NC 27612
Registration History
1985199019952000200520102015202020252 FIRMS2013 - 2017 (4 years)2 FIRMS2017 - Present (8 years)BSCOTT & STRINGFELLOW, LLC (CRD# 6255)1999 - 2013 (13 years)BSCOTT & STRINGFELLOW, INC. (CRD# 3309)1995 - 1999 (4 years)BROBERT THOMAS SECURITIES, INC (CRD# 10147)1991 - 1995 (3 years)BFIRST CAROLINA INVESTMENT CORP. (CRD# 22515)1989 - 1992 (2 years)BWHEAT, FIRST SECURITIES, INC. (CRD# 6124)1984 - 1989 (5 years)IASCOTT & STRINGFELLOW, LLC (CRD# 6255)2000 - 2013 (12 years)
License(s)

State Registrations

B
Alabama 10/24/2023
B
North Carolina 2/2/2017
B
Arizona 2/9/2018
IA
North Carolina 2/2/2017
B
Arkansas 2/9/2018
B
Ohio 8/3/2022
B
Colorado 11/28/2018
B
Oregon 6/27/2023
B
District of Columbia 1/23/2019
B
Pennsylvania 2/2/2017
B
Florida 6/6/2023
B
South Carolina 2/2/2017
B
Georgia 8/15/2022
IA
South Carolina 2/2/2017
B
Minnesota 4/2/2020
B
Virginia 4/10/2017
B
New Mexico 8/30/2021
B
Washington 1/23/2019
B
New York 2/2/2017

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)
4140 PARKLAKE AVENUE GLENLAKE ONE, SUITE 300, RALEIGH, NC 27612
Registered with this firm since 2/2/2017
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
4140 PARKLAKE AVENUE GLENLAKE ONE, SUITE 300, RALEIGH, NC 27612
Registered with this firm since 2/2/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2013 - 02/16/2017 BB&T SECURITIES, LLC (CRD#:142785) RALEIGH, NC
B
 01/02/2013 - 02/16/2017 BB&T SECURITIES, LLC (CRD#:142785) RALEIGH, NC
IA
 02/17/2000 - 01/02/2013 SCOTT & STRINGFELLOW, LLC (CRD#:6255) RALEIGH, NC
B
 05/05/1999 - 01/02/2013 SCOTT & STRINGFELLOW, LLC (CRD#:6255) RALEIGH, NC
B
 02/01/1995 - 05/05/1999 SCOTT & STRINGFELLOW, INC. (CRD#:3309) RICHMOND, VA
B
 12/20/1991 - 02/09/1995 ROBERT THOMAS SECURITIES, INC (CRD#:10147) ST. PETERSBURG, FL
B
 05/08/1989 - 01/08/1992 FIRST CAROLINA INVESTMENT CORP. (CRD#:22515)
B
 03/23/1984 - 05/20/1989 WHEAT, FIRST SECURITIES, INC. (CRD#:6124)
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.