Individual Firm
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FREDERICK CHARLES LEONARD
CRD#: 726468
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 60 Willow Street
Suite 101
Mystic, CT 06355
Suite 101
Mystic, CT 06355
View By:
8/4/2008
Customer Dispute
Closed-No Action
State Registrations
B
Alaska 6/3/2021
B
New Jersey 3/1/2019
B
Arizona 3/1/2019
B
New York 3/1/2019
B
California 3/1/2019
B
North Carolina 3/1/2019
B
Colorado 5/19/2021
B
Oklahoma 3/1/2019
B
Connecticut 3/1/2019
B
Pennsylvania 3/1/2019
IA
Connecticut 3/1/2019
B
Rhode Island 3/1/2019
B
District of Columbia 3/1/2019
B
South Carolina 3/14/2019
B
Florida 3/1/2019
B
Texas 3/1/2019
B
Georgia 8/28/2019
IA
Texas 3/1/2019
B
Illinois 5/30/2019
B
Utah 9/19/2019
B
Massachusetts 3/11/2019
B
Vermont 12/7/2020
B
Michigan 3/1/2019
B
Virginia 3/1/2019
B
Missouri 3/1/2019
B
Washington 8/14/2019
B
New Hampshire 3/1/2019
SRO Registrations
B
B
B
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IA
Registered with this firm since 3/1/2019
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Registered with this firm since 3/1/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2008 - 03/06/2019 | MYSTIC, CT | |
B | 01/01/2008 - 03/06/2019 | MYSTIC, CT | |
B | 06/15/1989 - 01/03/2008 | MYSTIC, CT | |
IA | 04/21/1997 - 01/01/2008 | MYSTIC, CT | |
B | 06/12/1984 - 07/10/1989 | ||
B | 12/07/1981 - 06/25/1984 | ||
B | 03/23/1981 - 12/11/1981 |
03/23/1981 - 12/11/1981
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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.