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Detailed Report
JAMES MURRAY ELLIOTT
JIM MURRAY ELLIOTT
CRD#: 2276124
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 60 Willow Street
Suite 101
Mystic, CT 06355
Registration History
19952000200520102015202020252 FIRMS1992 - 1995 (3 years)2 FIRMS2003 - 2007 (3 years)2 FIRMS2007 - 2012 (5 years)2 FIRMS2012 - 2016 (4 years)2 FIRMS2016 - 2024 (8 years)2 FIRMS2024 - Present (<1 year)BQUICK & REILLY, INC. (CRD# 11217)2000 - 2003 (2 years)BFIS SECURITIES, INC. (CRD# 30533)1996 - 2000 (4 years)BMDS SECURITIES INCORPORATED (CRD# 29367)1996 - 1996 (<1 year)B440 FINANCIAL DISTRIBUTORS, INC. (CRD# 31334)1995 - 1995 (<1 year)IAQUICK & REILLY, INC. (CRD# 11217)2002 - 2003 (<1 year)
Disclosure(s)
View By:
7/30/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Connecticut 11/20/2024
B
North Carolina 11/25/2024
IA
Connecticut 11/20/2024
B
Rhode Island 11/20/2024
B
Florida 11/20/2024
IA
Rhode Island 11/22/2024
B
Maine 11/20/2024
B
South Carolina 11/20/2024
B
Massachusetts 11/20/2024
B
Texas 11/20/2024
B
Michigan 11/20/2024
IA
Texas 11/20/2024
B
New Hampshire 11/20/2024
B
Vermont 11/20/2024

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)
60 Willow Street Suite 101, Mystic, CT 06355
Registered with this firm since 11/20/2024
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
60 Willow Street Suite 101, Mystic, CT 06355
Registered with this firm since 11/20/2024
Previous Registration(s)
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IA
 10/20/2016 - 11/20/2024 OSAIC INSTITUTIONS, INC. (CRD#:35371) MYSTIC, CT
B
 10/19/2016 - 11/20/2024 OSAIC INSTITUTIONS, INC. (CRD#:35371) MYSTIC, CT
IA
 08/01/2012 - 10/13/2016 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) NORTH KINGSTOWN, RI
B
 08/01/2012 - 10/13/2016 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) NORTH KINGSTOWN, RI
IA
 03/02/2007 - 08/01/2012 CCO INVESTMENT SERVICES CORP. (CRD#:39550) WAKEFIELD, RI
B
 03/02/2007 - 08/01/2012 CCO INVESTMENT SERVICES CORP. (CRD#:39550) WAKEFIELD, RI
IA
 06/13/2003 - 02/27/2007 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WESTERLY, RI
B
 06/13/2003 - 02/27/2007 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WESTERLY, RI
IA
 12/04/2002 - 06/10/2003 QUICK & REILLY, INC. (CRD#:11217) PROVIDENCE, RI
B
 09/25/2000 - 06/10/2003 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 08/01/1996 - 09/25/2000 FIS SECURITIES, INC. (CRD#:30533) BOSTON, MA
B
 01/02/1996 - 08/01/1996 MDS SECURITIES INCORPORATED (CRD#:29367) CARMEL, IN
B
 10/24/1995 - 12/31/1995 440 FINANCIAL DISTRIBUTORS, INC. (CRD#:31334) PORTLAND, ME
B
 09/23/1992 - 10/27/1995 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 09/23/1992 - 10/27/1995 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
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.