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Detailed Report
CHARLES MARK WILLOUGHBY
MARK WILLOUGHBY
CRD#: 2330009
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 Two Franklin Park
6700 Tower Circle, Ste. 200
Franklin, TN 37067
Registration History
19952000200520102015202020252 FIRMS2000 - 2002 (2 years)2 FIRMS2002 - 2009 (7 years)2 FIRMS2009 - 2015 (5 years)2 FIRMS2015 - 2019 (4 years)2 FIRMS2019 - Present (5 years)BJ.J.B. HILLIARD, W.L. LYONS, INC. (CRD# 453)1993 - 2000 (7 years)
License(s)

State Registrations

B
Alabama 6/18/2019
B
New Jersey 6/18/2019
B
Alaska 12/9/2021
B
North Carolina 6/18/2019
B
Florida 6/18/2019
B
Ohio 2/20/2025
B
Georgia 6/18/2019
B
Oklahoma 1/7/2025
B
Indiana 8/28/2024
B
Oregon 5/13/2024
B
Kentucky 6/18/2019
B
South Carolina 6/18/2019
B
Louisiana 2/20/2025
B
Tennessee 6/18/2019
B
Michigan 2/20/2025
IA
Tennessee 6/20/2019
B
Minnesota 2/20/2025
B
Texas 6/18/2019
B
Mississippi 6/18/2019
IA
Texas 6/18/2019

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)
Two Franklin Park 6700 Tower Circle, Ste. 200, Franklin, TN 37067
Registered with this firm since 6/18/2019
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
Two Franklin Park 6700 Tower Circle, Ste. 200, Franklin, TN 37067
Registered with this firm since 6/18/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/15/2015 - 07/05/2019 J.J.B. HILLIARD, W.L. LYONS, LLC (CRD#:453) Nashville, TN
B
 04/15/2015 - 07/05/2019 J.J.B. HILLIARD, W.L. LYONS, LLC (CRD#:453) Nashville, TN
IA
 12/22/2009 - 04/16/2015 CAPWEALTH ADVISORS, LLC (CRD#:148781) FRANKLIN, TN
B
 12/22/2009 - 04/15/2015 CAPWEALTH INVESTMENT SERVICES, LLC (CRD#:139664) FRANKLIN, TN
IA
 05/31/2002 - 12/22/2009 NBC SECURITIES, INC. (CRD#:17870) FRANKLIN, TN
B
 05/31/2002 - 12/22/2009 NBC SECURITIES, INC. (CRD#:17870) FRANKLIN, TN
IA
 06/23/2000 - 06/06/2002 CAPTRUST FINANCIAL ADVISORS (CRD#:41727) FRANKLIN, TN
B
 06/23/2000 - 06/06/2002 CAPTRUST FINANCIAL ADVISORS, LLC (CRD#:41727) CHARLOTTE, NC
B
 04/20/1993 - 06/27/2000 J.J.B. HILLIARD, W.L. LYONS, INC. (CRD#:453) LOUISVILLE, KY
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.