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Detailed Report
DAVID KENTON BROSEND
CRD#: 2615987
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 1700 Westgate Drive
Suite 103
York, PA 17408
Registration History
19901995200020052010201520202025IAJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2006 - Present (19 years)BJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2001 - Present (23 years)BMORGAN STANLEY DW INC. (CRD# 7556)1996 - 2001 (5 years)BTHE O.N. EQUITY SALES COMPANY (CRD# 2936)1995 - 1995 (<1 year)
Disclosure(s)
View By:
3/16/1990
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 12/15/2022
B
New Jersey 9/28/2001
B
Arizona 12/2/2014
B
New Mexico 9/10/2018
B
California 9/28/2001
B
New York 9/28/2001
IA
California 1/24/2013
B
North Carolina 4/18/2008
B
Colorado 1/14/2002
B
Ohio 9/28/2001
B
Delaware 10/1/2002
IA
Ohio 9/16/2010
B
Florida 9/28/2001
B
Pennsylvania 9/28/2001
B
Georgia 3/11/2002
IA
Pennsylvania 3/31/2006
B
Hawaii 10/21/2022
B
South Carolina 9/24/2007
B
Maryland 9/28/2001
B
Tennessee 10/30/2014
B
Massachusetts 4/1/2004
B
Texas 11/14/2011
B
Missouri 1/13/2025
IA
Texas 5/25/2016
B
Nevada 10/21/2021
B
Virginia 12/4/2001

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)
1700 Westgate Drive Suite 103, York, PA 17408
Registered with this firm since 3/31/2006
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
1700 Westgate Drive Suite 103, York, PA 17408
Registered with this firm since 9/28/2001
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/09/1996 - 10/23/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 06/14/1995 - 11/28/1995 THE O.N. EQUITY SALES COMPANY (CRD#:2936) CINCINNATI, OH
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.