Individual Firm
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KATHRYN A GENOVESE
KATHRYN A MORROW, KATHRYN A OLIVER
CRD#: 4404496
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 1551 Boston Post Road
2nd Floor
Westbrook, CT 06498
2nd Floor
Westbrook, CT 06498
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8/29/2016
Customer Dispute
Denied
2/14/2011
Customer Dispute
Denied
11/25/2008
Customer Dispute
Denied
State Registrations
B
Connecticut 6/18/2024
IA
New Hampshire 6/18/2024
IA
Connecticut 6/18/2024
B
New York 7/1/2024
B
Florida 6/18/2024
B
Rhode Island 6/18/2024
IA
Florida 6/19/2024
IA
Rhode Island 6/18/2024
B
Massachusetts 6/20/2024
B
Vermont 6/18/2024
B
New Hampshire 6/18/2024
IA
Vermont 6/18/2024
SRO Registrations
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/18/2024
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Registered with this firm since 6/18/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/30/2016 - 06/21/2024 | OLD LYME, CT | |
B | 08/30/2016 - 06/21/2024 | OLD LYME, CT | |
IA | 07/17/2012 - 09/15/2016 | OLD SAYBROOK, CT | |
B | 07/17/2012 - 09/15/2016 | OLD SAYBROOK, CT | |
IA | 09/12/2006 - 07/19/2012 | OLD LYME, CT | |
B | 09/12/2006 - 07/19/2012 | OLD LYME, CT | |
IA | 04/22/2005 - 08/30/2006 | MADISON, CT | |
B | 04/22/2005 - 08/30/2006 | GUILFORD, CT | |
IA | 10/20/2004 - 04/26/2005 | OLD LYME, CT | |
B | 10/20/2004 - 04/26/2005 | BOSTON, MA | |
IA | 09/01/2004 - 10/20/2004 | OLD LYME, CT | |
B | 06/13/2001 - 10/20/2004 | NEW YORK, NY |
For additional information about investment advisers or broker-dealers, please visit
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.