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Detailed Report
DAVID ELLIOTT GRICE
CRD#: 1736910
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 514 PARK HILL COURT, UNIT 200
HENDERSONVILLE, NC 28739
Registration History
199019952000200520102015202020252 FIRMS2002 - 2008 (6 years)2 FIRMS2008 - 2013 (4 years)2 FIRMS2013 - Present (12 years)BTHE ROBINSON-HUMPHREY COMPANY, LLC (CRD# 723)1987 - 2002 (14 years)
Disclosure(s)
View By:
8/10/2011
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/8/2019
B
Michigan 4/26/2022
B
Arizona 3/7/2013
B
New York 2/20/2013
B
Arkansas 3/5/2013
B
North Carolina 2/20/2013
B
California 4/1/2021
IA
North Carolina 2/20/2013
B
Colorado 2/20/2013
B
Ohio 2/20/2013
B
Delaware 8/11/2021
B
Pennsylvania 2/20/2013
B
Florida 2/20/2013
B
South Carolina 2/20/2013
B
Georgia 2/20/2013
B
Tennessee 2/20/2013
B
Illinois 5/6/2019
B
Virginia 2/20/2013
B
Indiana 8/16/2019
B
Washington 9/20/2018
B
Maryland 7/1/2020
B
Wisconsin 2/22/2013
B
Massachusetts 12/9/2020

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)
514 PARK HILL COURT, UNIT 200, HENDERSONVILLE, NC 28739
Registered with this firm since 2/20/2013
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
514 PARK HILL COURT, UNIT 200, HENDERSONVILLE, NC 28739
Registered with this firm since 2/20/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/20/2008 - 02/22/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HENDERSONVILLE, NC
B
 10/20/2008 - 02/22/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HENDERSONVILLE, NC
IA
 01/02/2002 - 11/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ASHEVILLE, NC
B
 01/02/2002 - 11/03/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ASHEVILLE, NC
B
 09/24/1987 - 01/02/2002 THE ROBINSON-HUMPHREY COMPANY, LLC (CRD#:723) ATLANTA, GA
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.