Individual Firm
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MICHAEL PATRICK GEISEN
MICHAEL GEISEN
CRD#: 2592995
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 1116 Main Road
Suites 1 & 2
Riverhead, NY 11901
Suites 1 & 2
Riverhead, NY 11901
View By:
7/11/2018
Customer Dispute
Settled
State Registrations
B
Arizona 10/11/2017
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New York 12/3/2021
B
California 10/11/2017
B
North Carolina 10/11/2017
B
Connecticut 10/11/2017
B
Ohio 10/11/2017
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Connecticut 11/21/2017
B
Oklahoma 3/20/2018
B
Delaware 10/11/2017
B
Pennsylvania 10/11/2017
B
Florida 10/11/2017
B
Rhode Island 9/24/2019
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Florida 2/21/2018
B
South Carolina 10/11/2017
B
Georgia 5/19/2020
B
Tennessee 10/11/2017
B
Maryland 10/11/2017
B
Texas 10/11/2017
B
Massachusetts 10/11/2017
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Texas 2/21/2018
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Massachusetts 3/12/2018
B
Utah 8/14/2019
B
New Hampshire 10/11/2017
B
Vermont 10/11/2017
B
New Jersey 10/11/2017
B
Virginia 10/11/2017
B
New Mexico 10/11/2017
B
Washington 10/11/2017
B
New York 10/11/2017
SRO Registrations
B
B
B
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Registered with this firm since 11/21/2017
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Registered with this firm since 10/11/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/01/2009 - 10/13/2017 | RIVERHEAD, NY | |
B | 03/17/2000 - 06/01/2009 | RIVERHEAD, NY | |
B | 10/20/1997 - 12/09/1997 | JERICHO, NY | |
B | 03/08/1995 - 03/11/1997 | UNIONDALE, NY |
UNIONDALE, NY
03/08/1995 - 03/11/1997
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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.
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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.