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Detailed Report
Registration History
198519901995200020052010201520202025IAJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2021 - Present (4 years)BJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2020 - Present (4 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - 2020 (12 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1990 - 2008 (17 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 1990 (1 year)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1985 - 1988 (3 years)BMCLAUGHLIN, PIVEN, VOGEL INC. (CRD# 7404)1985 - 1985 (<1 year)
Disclosure(s)
View By:
3/10/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 2/21/2024
IA
New Jersey 3/30/2021
B
Arkansas 12/3/2020
B
New York 12/3/2020
B
California 12/4/2020
IA
New York 4/10/2021
B
Connecticut 12/3/2020
B
North Carolina 12/8/2020
B
Florida 12/3/2020
B
Pennsylvania 12/3/2020
IA
Florida 12/10/2021
B
South Carolina 12/3/2020
B
Georgia 1/12/2022
B
Texas 12/3/2020
B
Michigan 12/3/2020
IA
Texas 3/31/2021
B
New Jersey 12/3/2020

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)
Venice, FL
100 Motor Parkway Suite 590, Hauppauge, NY 11788
Registered with this firm since 3/30/2021
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
Venice, FL
100 Motor Parkway Suite 590, Hauppauge, NY 11788
Registered with this firm since 12/3/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/01/2008 - 12/07/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HAUPPAUGE, NY
B
 06/29/1990 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SMITHTOWN, NY
B
 09/27/1988 - 06/06/1990 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 08/12/1985 - 09/26/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
B
 03/20/1985 - 07/26/1985 MCLAUGHLIN, PIVEN, VOGEL INC. (CRD#:7404)
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.