Individual Firm
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MARK JOHNSON
CRD#: 1216677
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 22 Corporate Woods Boulevard
4th Floor
ALBANY, NY 12211
4th Floor
ALBANY, NY 12211
View By:
7/23/2020
Customer Dispute
Denied
6/11/2014
Customer Dispute
Settled
7/29/1999
Customer Dispute
Settled
State Registrations
B
Arizona 2/15/2024
B
New York 2/15/2024
B
Colorado 3/14/2024
IA
New York 2/15/2024
B
Connecticut 2/15/2024
B
North Carolina 3/5/2024
B
Florida 2/15/2024
B
Ohio 2/15/2024
B
Hawaii 2/15/2024
B
Rhode Island 3/20/2024
B
Illinois 2/15/2024
B
South Carolina 3/5/2024
B
Maryland 2/15/2024
B
Tennessee 2/28/2024
B
Massachusetts 2/16/2024
B
Texas 2/15/2024
B
Michigan 2/15/2024
IA
Texas 2/15/2024
B
Nevada 2/15/2024
B
Vermont 2/15/2024
B
New Hampshire 2/27/2024
B
Virginia 2/15/2024
B
New Jersey 2/15/2024
B
West Virginia 2/15/2024
B
New Mexico 2/15/2024
SRO Registrations
B
B
B
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Learn about permitted activities of registered representatives
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IA
Registered with this firm since 2/15/2024
B
Registered with this firm since 2/15/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/28/2016 - 02/27/2024 | ALBANY, NY | |
B | 05/27/2022 - 02/27/2024 | ALBANY, NY | |
B | 09/22/2016 - 05/27/2022 | ALBANY, NY | |
IA | 11/04/2010 - 09/29/2016 | SARATOGA SPRINGS, NY | |
B | 08/07/2008 - 09/29/2016 | SARATOGA SPRINGS, NY | |
B | 04/02/2007 - 08/11/2008 | AMSTERDAM, NY | |
B | 07/02/1999 - 04/02/2007 | AMSTERDAM, NY | |
B | 07/02/1985 - 07/14/1999 | NEW YORK, NY | |
B | 12/21/1983 - 07/29/1985 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.