Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
PETER EDWIN SAMPSON
CRD#: 727063
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 401 PARK AVENUE SW
SUITE B
AIKEN, SC 29801
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - Present (13 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2009 (9 years)BTHE ROBINSON-HUMPHREY COMPANY, LLC (CRD# 723)1981 - 2002 (20 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1991 - 2009 (18 years)
License(s)

State Registrations

B
Alabama 1/18/2023
B
New Jersey 3/16/2012
B
Arizona 3/16/2012
B
New Mexico 3/16/2012
B
California 3/16/2012
B
New York 3/16/2012
IA
California 4/30/2012
B
North Carolina 3/16/2012
B
Delaware 6/4/2014
IA
North Carolina 4/26/2012
B
Florida 3/16/2012
B
Ohio 3/16/2012
B
Georgia 3/16/2012
B
Oklahoma 3/16/2012
B
Hawaii 8/12/2022
IA
Oklahoma 3/16/2012
B
Illinois 10/1/2024
B
Pennsylvania 3/16/2012
B
Indiana 3/20/2024
B
Rhode Island 5/19/2021
B
Louisiana 3/16/2012
B
South Carolina 3/16/2012
B
Maine 5/11/2020
IA
South Carolina 3/16/2012
B
Maryland 12/21/2012
B
Tennessee 3/12/2015
B
Massachusetts 10/10/2016
B
Utah 7/31/2023
B
Mississippi 10/15/2013
B
Virginia 3/16/2012
B
Montana 2/28/2019
B
Washington 3/16/2012
B
Nevada 11/9/2023

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)
401 PARK AVENUE SW SUITE B, AIKEN, SC 29801
Registered with this firm since 3/16/2012
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
401 PARK AVENUE SW SUITE B, AIKEN, SC 29801
Registered with this firm since 3/16/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 03/20/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) AIKEN, SC
B
 06/01/2009 - 03/20/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) AIKEN, SC
IA
 06/04/1991 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AIKEN, SC
B
 06/13/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AIKEN, SC
B
 03/23/1981 - 01/02/2002 THE ROBINSON-HUMPHREY COMPANY, LLC (CRD#:723) ATLANTA, GA
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.