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ADAM BRUCE BUTLER
CRD#: 2783341
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 8044 Montgomery Road
Suite 415
Cincinnati, OH 45236
Suite 415
Cincinnati, OH 45236
0
Disclosures
28
Years of Experience
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State Registrations
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Kentucky 11/3/2021
IA
Ohio 11/12/2021
B
Ohio 11/3/2021
SRO Registrations
B
B
B
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IA
Registered with this firm since 11/12/2021
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Registered with this firm since 11/3/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/11/2007 - 11/11/2021 | Cincinnati, OH | |
B | 09/27/2007 - 11/11/2021 | Cincinnati, OH | |
IA | 10/31/2006 - 10/03/2007 | CINCINNATI, OH | |
B | 10/31/2006 - 10/03/2007 | CINCINNATI, OH | |
IA | 01/19/2006 - 07/27/2006 | COVINGTON, KY | |
B | 08/01/2000 - 07/27/2006 | COVINGTON, KY | |
B | 08/23/1996 - 07/31/2000 | SMITHFIELD, RI |
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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.