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Detailed Report
JOSEPH FINE
Joseph M Fine
CRD#: 5230899
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 1235 Westlakes Drive
Suite 225
BERWYN (Valley Forge), PA 19312
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2024 - Present (<1 year)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2019 - 2024 (4 years)BBOFA SECURITIES, INC. (CRD# 283942)2019 - 2019 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2014 - 2019 (5 years)BMERRILL LYNCH PROFESSIONAL CLE... (CRD# 16139)2013 - 2018 (5 years)IARAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2020 - 2024 (4 years)
License(s)

State Registrations

B
California 10/22/2024
B
Pennsylvania 10/22/2024
B
Florida 10/22/2024
IA
Pennsylvania 10/22/2024

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)
1235 Westlakes Drive Suite 225, BERWYN (Valley Forge), PA 19312
Registered with this firm since 10/22/2024
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
1235 Westlakes Drive Suite 225, BERWYN (Valley Forge), PA 19312
Registered with this firm since 10/22/2024
Previous Registration(s)
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IA
 10/13/2020 - 10/07/2024 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) WEST CONSHOHOCKEN, PA
B
 11/22/2019 - 10/07/2024 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) WEST CONSHOHOCKEN, PA
B
 05/10/2019 - 11/07/2019 BOFA SECURITIES, INC. (CRD#:283942) NEW YORK, NY
B
 01/27/2014 - 05/10/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PHILADELPHIA, PA
B
 10/31/2013 - 11/07/2018 MERRILL LYNCH PROFESSIONAL CLEARING CORP. (CRD#:16139) NEW YORK, NY
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.