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JONATHAN ROBERT HARVEY
CRD#: 4558464
IA
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JANNEY MONTGOMERY SCOTT LLCCRD#: 463 106 EAST COURT STREET
DOYLESTOWN, PA 18901-4321
DOYLESTOWN, PA 18901-4321
View By:
2/27/2024
Customer Dispute
Pending
10/14/2009
Customer Dispute
Settled
9/16/1995
Criminal
Final Disposition
State Registrations
B
Colorado 10/27/2020
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Pennsylvania 9/3/2002
B
New Jersey 5/2/2003
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Pennsylvania 3/30/2006
SRO Registrations
B
B
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IA
Registered with this firm since 3/30/2006
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Registered with this firm since 8/30/2002
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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.