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Detailed Report
KEVIN THOMAS CHAROS
KEV CHAROS
CRD#: 1752137
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 322 Rt. 35
Suite 110
Red Bank, NJ 07701
Registration History
19901995200020052010201520202025IAJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2005 - Present (19 years)BJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2001 - Present (23 years)BC.E. UNTERBERG, TOWBIN (A CALI... (CRD# 24790)2001 - 2001 (<1 year)BM. H. MEYERSON & CO., INC. (CRD# 540)1991 - 2001 (9 years)BBARRETT DAY SECURITIES, INC. (CRD# 17717)1990 - 1991 (1 year)BBARRETT DAY SECURITIES, INC. (CRD# 17717)1989 - 1991 (2 years)BINDIVIDUAL'S SECURITIES LTD. (CRD# 7279)1988 - 1989 (<1 year)BGREENTREE SECURITIES CORP. (CRD# 7372)1987 - 1988 (1 year)
Disclosure(s)
View By:
3/16/2018
Financial
Final
2/6/2015
Customer Dispute
Withdrawn
License(s)

State Registrations

B
California 11/9/2001
B
Nevada 1/6/2015
IA
California 10/6/2008
B
New Hampshire 12/16/2013
B
Connecticut 2/5/2019
B
New Jersey 11/9/2001
B
Delaware 11/10/2008
IA
New Jersey 9/26/2005
B
District of Columbia 10/3/2024
B
New York 11/9/2001
B
Florida 11/13/2001
B
North Carolina 5/20/2015
B
Georgia 11/9/2001
B
South Carolina 3/29/2022
B
Illinois 2/14/2025
B
Texas 11/9/2001
B
Kansas 4/3/2019
IA
Texas 10/10/2008
B
Massachusetts 2/21/2012

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)
322 Rt. 35 Suite 110, Red Bank, NJ 07701
Registered with this firm since 9/26/2005
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
322 Rt. 35 Suite 110, Red Bank, NJ 07701
Registered with this firm since 11/9/2001
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/19/2001 - 11/12/2001 C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) (CRD#:24790) NEW YORK, NY
B
 07/22/1991 - 01/24/2001 M. H. MEYERSON & CO., INC. (CRD#:540) JERSEY CITY, NJ
B
 02/15/1990 - 08/20/1991 BARRETT DAY SECURITIES, INC. (CRD#:17717)
B
 05/23/1989 - 08/20/1991 BARRETT DAY SECURITIES, INC. (CRD#:17717) NEW YORK, NY
B
 11/17/1988 - 05/17/1989 INDIVIDUAL'S SECURITIES LTD. (CRD#:7279)
FINRA expelled the firm on 01/04/1990
B
 10/20/1987 - 12/03/1988 GREENTREE SECURITIES CORP. (CRD#:7372)
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.