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Detailed Report
STEVEN N PERLMAN
STEVE PERLMAN, STEVEN NATHAN PERLMAN
CRD#: 2506711
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 60 STATE STREET
Suite 1350
BOSTON, MA 02109-1803
Registration History
19952000200520102015202020252 FIRMS2018 - Present (6 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2006 - 2018 (12 years)BMORGAN STANLEY DW INC. (CRD# 7556)1994 - 2006 (11 years)
Disclosure(s)
View By:
8/23/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 5/31/2018
B
New Hampshire 2/8/2023
B
California 5/31/2018
B
New Mexico 5/31/2018
B
Connecticut 5/31/2018
B
North Carolina 5/31/2018
B
Florida 5/31/2018
B
Pennsylvania 5/31/2018
B
Georgia 5/30/2024
B
Rhode Island 1/6/2025
B
Maine 5/31/2018
B
South Carolina 8/23/2022
B
Massachusetts 5/31/2018
B
Texas 9/24/2024
IA
Massachusetts 6/28/2018
IA
Texas 9/24/2024
B
Minnesota 5/31/2018

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 STATE STREET Suite 1350, BOSTON, MA 02109-1803
Registered with this firm since 6/28/2018
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
60 STATE STREET Suite 1350, BOSTON, MA 02109-1803
Registered with this firm since 5/31/2018
Previous Registration(s)
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B
 04/21/2006 - 06/01/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) WELLESLEY HILLS, MA
B
 08/22/1994 - 04/26/2006 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.