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JOHN RYUICHI UYEKI
CRD#: 2084506
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 555 LONG WHARF DRIVE
LONG WHARF MARITIME CENTER, 11TH FLOOR
NEW HAVEN, CT 06511
LONG WHARF MARITIME CENTER, 11TH FLOOR
NEW HAVEN, CT 06511
0
Disclosures
33
Years of Experience
View By:
State Registrations
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California 11/19/2024
B
New York 11/19/2024
B
Connecticut 11/19/2024
B
Pennsylvania 11/19/2024
IA
Connecticut 11/19/2024
IA
Pennsylvania 11/20/2024
B
Florida 11/19/2024
B
Rhode Island 11/19/2024
B
Georgia 11/19/2024
B
South Carolina 11/19/2024
B
Illinois 2/10/2025
B
Texas 11/19/2024
B
Indiana 11/19/2024
IA
Texas 11/20/2024
B
Massachusetts 11/19/2024
B
Virginia 11/19/2024
IA
Massachusetts 12/2/2024
B
Wyoming 12/11/2024
B
New Hampshire 11/19/2024
SRO Registrations
B
B
B
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IA
Registered with this firm since 11/19/2024
B
Registered with this firm since 11/19/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/05/2015 - 11/20/2024 | MYSTIC, CT | |
B | 06/05/2015 - 11/20/2024 | MYSTIC, CT | |
IA | 03/05/2012 - 03/18/2015 | BRANFORD, CT | |
B | 03/05/2012 - 03/18/2015 | BRANFORD, CT | |
IA | 08/09/2007 - 03/20/2012 | NEWINGTON, CT | |
B | 08/06/2007 - 03/20/2012 | NEWINGTON, CT | |
IA | 12/20/2006 - 08/09/2007 | NEW HAVEN, CT | |
B | 04/10/2006 - 08/09/2007 | NEW HAVEN, CT | |
IA | 04/20/2005 - 03/23/2006 | NEW YORK, NY | |
B | 12/18/2002 - 03/23/2006 | NEW YORK, NY | |
B | 08/09/2002 - 11/04/2002 | FRANKLIN, TN | |
B | 12/05/2001 - 02/14/2002 | JERSEY CITY, NJ | |
B | 02/09/1998 - 12/05/2001 | CARMEL, IN | |
B | 12/16/1999 - 12/31/1999 | ST. LOUIS, MO | |
B | 11/12/1993 - 01/20/1998 | WINDSOR, CT | |
B | 03/30/1992 - 11/03/1993 | WESTLAKE, TX | |
B | 01/03/1991 - 04/06/1992 | PHOENIX, AZ |
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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.