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
ERNEST HOWARD STANLEY JR
CHIP STANLEY JR, CHIP STANLEY, ERNEST HOWARD STANLEY JR JR, ERNEST HOWARD STANLEY JR. JR
CRD#: 1171132
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 1441 MAIN STREET
SUITE 700
COLUMBIA, SC 29201
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BMORGAN STANLEY DW INC. (CRD# 7556)1991 - 2007 (15 years)BF & G SECURITIES, INC. (CRD# 16364)1991 - 1991 (<1 year)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1989 - 1990 (1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1986 - 1989 (3 years)BGIBBES, POSTON & CO., INC. (CRD# 8172)1983 - 1986 (2 years)IAMORGAN STANLEY (CRD# 7556)1992 - 2007 (15 years)
Disclosure(s)
View By:
2/4/2015
Customer Dispute
Withdrawn
License(s)

State Registrations

B
California 9/27/2012
B
North Carolina 9/27/2012
IA
California 12/13/2012
IA
North Carolina 12/18/2012
B
Colorado 3/1/2013
B
Ohio 4/15/2022
B
District of Columbia 11/12/2015
B
Oklahoma 9/27/2012
B
Florida 9/27/2012
B
Pennsylvania 3/16/2023
B
Georgia 9/27/2012
B
South Carolina 9/27/2012
B
Indiana 3/1/2013
IA
South Carolina 9/28/2012
B
Kansas 8/20/2020
B
Tennessee 9/27/2012
B
Louisiana 3/9/2021
B
Texas 9/27/2012
B
Maryland 9/27/2012
IA
Texas 9/27/2012
B
Minnesota 5/31/2023
B
Virginia 9/27/2012
B
Nevada 1/2/2020
B
Washington 3/1/2013
B
New Jersey 5/25/2023
B
West Virginia 9/27/2012
B
New York 9/27/2012

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)
1441 MAIN STREET SUITE 700, COLUMBIA, SC 29201
Registered with this firm since 9/27/2012
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
1441 MAIN STREET SUITE 700, COLUMBIA, SC 29201
Registered with this firm since 9/27/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 10/17/2012 MORGAN STANLEY (CRD#:149777) COLUMBIA, SC
B
 06/01/2009 - 10/17/2012 MORGAN STANLEY (CRD#:149777) COLUMBIA, SC
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) COLUMBIA, SC
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) COLUMBIA, SC
IA
 03/03/1992 - 04/02/2007 MORGAN STANLEY (CRD#:7556) COLUMBIA, SC
B
 12/06/1991 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) COLUMBIA, SC
B
 11/07/1991 - 12/13/1991 F & G SECURITIES, INC. (CRD#:16364)
B
 05/26/1989 - 11/29/1990 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
B
 03/24/1986 - 06/14/1989 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
B
 08/04/1983 - 07/03/1986 GIBBES, POSTON & CO., INC. (CRD#:8172)
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.