Individual Firm
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DANIEL JOSEPH HONAN
CRD#: 1584729
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 50 Portland Pier
Suite 200
Portland, ME 04101
Suite 200
Portland, ME 04101
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9/9/2012
Customer Dispute
Denied
State Registrations
B
Alabama 10/10/2016
B
New Hampshire 1/2/2015
B
Arizona 7/29/2020
B
New Jersey 1/2/2015
B
California 1/2/2015
B
New Mexico 7/14/2021
B
Colorado 1/2/2015
B
New York 1/2/2015
B
Connecticut 1/17/2024
B
North Carolina 5/8/2020
B
Florida 1/2/2015
IA
North Carolina 11/17/2021
IA
Florida 1/4/2019
B
Pennsylvania 1/2/2015
B
Georgia 5/11/2023
B
South Carolina 1/2/2015
B
Hawaii 12/3/2018
B
Tennessee 1/2/2015
IA
Hawaii 11/22/2021
B
Texas 2/14/2023
B
Illinois 6/9/2021
IA
Texas 2/16/2023
B
Kentucky 7/20/2020
B
Utah 1/2/2015
B
Maine 1/23/2015
B
Vermont 1/2/2015
IA
Maine 1/23/2015
B
Virginia 9/23/2020
B
Maryland 12/5/2018
B
Washington 2/28/2019
B
Massachusetts 1/2/2015
B
Wyoming 2/23/2022
SRO Registrations
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/2/2015
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Registered with this firm since 1/2/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/15/2010 - 01/23/2015 | PORTLAND, ME | |
B | 03/15/2010 - 12/18/2014 | PORTLAND, ME | |
IA | 06/01/2009 - 04/08/2010 | PORTLAND, ME | |
B | 06/01/2009 - 04/08/2010 | PORTLAND, ME | |
IA | 02/02/2006 - 06/01/2009 | PORTLAND, ME | |
B | 07/31/1993 - 06/01/2009 | PORTLAND, ME | |
B | 11/21/1986 - 07/31/1993 | NEW YORK, NY |
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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.