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Detailed Report
KENNETH HARLON NEAL JR
KENNETH HARLON NEAL
CRD#: 3187565
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 204 Malloy Street
Suite B
Goldsboro, NC 27534
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2006 (2 years)2 FIRMS2006 - 2012 (6 years)2 FIRMS2012 - 2019 (6 years)2 FIRMS2019 - Present (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2003 (3 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1999 - 1999 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2001 - 2003 (2 years)
License(s)

State Registrations

B
Arkansas 3/17/2022
B
Nevada 5/17/2024
B
Colorado 10/29/2021
B
New Jersey 2/22/2019
B
Delaware 10/29/2021
B
New York 2/22/2019
B
Florida 10/29/2021
B
North Carolina 2/22/2019
B
Georgia 6/7/2021
IA
North Carolina 2/22/2019
B
Kentucky 3/17/2022
B
South Carolina 10/29/2021
B
Maine 11/2/2021
B
Virginia 2/22/2019
B
Maryland 2/22/2019

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)
204 Malloy Street Suite B, Goldsboro, NC 27534
Registered with this firm since 2/22/2019
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
204 Malloy Street Suite B, Goldsboro, NC 27534
Registered with this firm since 2/22/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/02/2012 - 02/22/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WILSON, NC
B
 10/02/2012 - 02/22/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WILSON, NC
IA
 09/27/2006 - 10/03/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) GOLDSBORO, NC
B
 09/27/2006 - 10/03/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) GOLDSBORO, NC
IA
 11/12/2003 - 09/19/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) WILSON, NC
B
 11/12/2003 - 09/19/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WILSON, NC
IA
 10/22/2001 - 11/03/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) WILSON, NC
B
 02/16/2000 - 11/03/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 03/16/1999 - 11/15/1999 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
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.