Individual Firm
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LAWRENCE SCOTT RICHARDS
CRD#: 2357072
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 200 N. HIGH STREET
SUITE 201
WEST CHESTER, PA 19380
SUITE 201
WEST CHESTER, PA 19380
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6/3/2016
Customer Dispute
Denied
4/5/2001
Customer Dispute
Closed-No Action
12/15/2000
Customer Dispute
Settled
9/1/1998
Customer Dispute
Settled
State Registrations
B
Arizona 12/14/2022
B
New Jersey 3/1/2012
B
California 3/1/2012
B
New York 3/1/2012
B
Colorado 7/24/2020
B
North Carolina 3/1/2012
B
Connecticut 10/5/2021
B
Ohio 2/7/2017
B
Delaware 3/1/2012
B
Oregon 7/2/2021
B
District of Columbia 3/20/2019
B
Pennsylvania 3/1/2012
B
Florida 3/1/2012
IA
Pennsylvania 3/23/2012
B
Georgia 3/1/2012
B
South Carolina 3/1/2012
B
Illinois 3/1/2012
B
Texas 3/1/2012
B
Kansas 3/1/2012
IA
Texas 9/13/2016
B
Kentucky 10/4/2021
B
Utah 4/30/2020
B
Maryland 3/1/2012
B
Vermont 10/5/2021
B
Massachusetts 3/1/2012
B
Virginia 4/30/2020
B
Michigan 5/26/2016
B
Washington 3/1/2012
B
Minnesota 7/17/2020
B
West Virginia 12/9/2015
B
Missouri 9/4/2020
B
Wisconsin 10/4/2021
B
New Hampshire 5/19/2021
SRO Registrations
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/23/2012
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Registered with this firm since 3/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/01/2009 - 03/05/2012 | MEDIA, PA | |
B | 02/21/2006 - 06/01/2009 | WEST CHESTER, PA | |
B | 01/08/2001 - 02/21/2006 | BALTIMORE, MD | |
B | 12/06/1994 - 01/26/2001 | ST. LOUIS, MO | |
B | 08/15/1994 - 12/09/1994 | ROCHESTER, NY | |
B | 08/05/1994 - 09/09/1994 | NEW YORK, NY | |
B | 06/07/1993 - 08/26/1994 | NEW YORK, NY |
ROCHESTER, NY
08/15/1994 - 12/09/1994
NEW YORK, NY
08/05/1994 - 09/09/1994
NEW YORK, NY
06/07/1993 - 08/26/1994
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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.