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CHASE J HARKNESS
CRD#: 5306617
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 8044 Montgomery Road
Suite 415
Cincinnati, OH 45236
Suite 415
Cincinnati, OH 45236
0
Disclosures
17
Years of Experience
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State Registrations
B
Alabama 9/20/2024
IA
Kentucky 3/3/2022
B
Arizona 3/3/2022
B
Michigan 3/3/2022
B
California 3/3/2022
B
New Jersey 3/3/2022
B
Colorado 3/3/2022
B
New York 3/3/2022
B
District of Columbia 3/3/2022
B
North Carolina 3/29/2022
B
Florida 3/3/2022
B
Ohio 3/3/2022
B
Georgia 9/20/2022
IA
Ohio 3/3/2022
B
Indiana 3/3/2022
B
Pennsylvania 3/3/2022
B
Kentucky 3/3/2022
SRO Registrations
B
B
B
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IA
Registered with this firm since 3/3/2022
B
Registered with this firm since 3/3/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/25/2012 - 03/23/2022 | CINCINNATI, OH | |
B | 02/09/2012 - 03/23/2022 | CINCINNATI, OH | |
B | 01/25/2008 - 01/24/2012 | COVINGTON, KY | |
B | 04/11/2007 - 10/29/2007 | COVINGTON, KY |
COVINGTON, KY
04/11/2007 - 10/29/2007
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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.