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Detailed Report
DANIEL GENE SMITH
CRD#: 1347756
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 22 Corporate Woods Boulevard
4th Floor
ALBANY, NY 12211
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2004 (4 years)2 FIRMS2008 - Present (17 years)BTOWER SQUARE SECURITIES, INC. (CRD# 833)2006 - 2008 (2 years)BFIRST ALBANY CORPORATION (CRD# 298)1997 - 2000 (3 years)
License(s)

State Registrations

B
Alabama 8/31/2021
B
Nevada 9/1/2021
B
Arizona 9/1/2021
B
New Hampshire 9/1/2021
B
California 2/27/2008
B
New Jersey 1/14/2021
IA
California 2/27/2008
B
New Mexico 9/1/2021
B
Colorado 9/1/2021
B
New York 1/3/2008
B
Connecticut 9/1/2021
IA
New York 8/5/2021
B
Delaware 9/1/2021
B
North Carolina 9/7/2021
B
District of Columbia 9/1/2021
B
Ohio 9/1/2021
B
Florida 9/1/2021
B
Oregon 9/1/2021
B
Georgia 9/1/2021
B
Pennsylvania 1/14/2021
B
Hawaii 9/1/2021
IA
Pennsylvania 1/15/2021
B
Illinois 9/1/2021
B
Rhode Island 9/1/2021
B
Indiana 9/1/2021
B
South Carolina 9/1/2021
B
Louisiana 9/1/2021
B
Tennessee 9/1/2021
B
Maine 9/1/2021
B
Texas 9/1/2021
B
Maryland 9/1/2021
B
Utah 9/1/2021
B
Massachusetts 9/1/2021
B
Vermont 9/1/2021
B
Michigan 9/1/2021
B
Washington 9/1/2021
B
Minnesota 9/1/2021
B
Wyoming 9/1/2021

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)
22 Corporate Woods Boulevard 4th Floor, ALBANY, NY 12211
Registered with this firm since 2/27/2008
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
22 Corporate Woods Boulevard 4th Floor, ALBANY, NY 12211
Registered with this firm since 1/3/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/01/2006 - 01/04/2008 TOWER SQUARE SECURITIES, INC. (CRD#:833) CLIFTON PARK, NY
IA
 11/15/2000 - 09/13/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) PITTSFIELD, MA
B
 08/05/2000 - 09/13/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 06/13/1997 - 08/05/2000 FIRST ALBANY CORPORATION (CRD#:298) NEW YORK, NY
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.