Individual Firm
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LAURA JEAN WILLIAMS
LAURA J HOFFMAN
CRD#: 1745041
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 43 SOUTH BEESON BLVD
UNIONTOWN, PA 15401
UNIONTOWN, PA 15401
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2/20/2009
Customer Dispute
Denied
2/10/2006
Customer Dispute
Settled
State Registrations
B
Arizona 6/25/2005
B
New Jersey 6/25/2005
B
California 6/25/2005
B
New Mexico 9/5/2017
B
Colorado 6/25/2005
B
New York 8/18/2005
B
Connecticut 6/25/2005
B
North Carolina 6/25/2005
B
Delaware 6/25/2005
B
Ohio 6/25/2005
B
Florida 6/25/2005
IA
Ohio 10/9/2008
B
Georgia 10/24/2014
B
Pennsylvania 6/25/2005
B
Illinois 3/20/2024
IA
Pennsylvania 6/25/2005
B
Indiana 1/27/2023
B
South Carolina 1/4/2011
B
Kansas 4/14/2023
B
South Dakota 10/7/2013
B
Kentucky 1/5/2011
B
Tennessee 12/21/2007
B
Maine 4/12/2018
B
Texas 2/4/2011
B
Maryland 6/25/2005
IA
Texas 7/17/2018
B
Massachusetts 8/23/2013
B
Utah 8/23/2013
B
Michigan 6/25/2005
B
Virginia 6/25/2005
B
Missouri 6/22/2016
B
Washington 6/25/2005
B
Montana 3/11/2024
B
West Virginia 6/25/2005
B
Nevada 3/15/2024
SRO Registrations
B
B
B
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IA
Registered with this firm since 6/25/2005
B
Registered with this firm since 6/25/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/29/2005 - 06/25/2005 | BELLE VERNON, PA | |
B | 11/02/1987 - 06/25/2005 | PITTSBURGH, PA |
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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.