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Detailed Report
GARY STEVEN HALTER
CRD#: 732330
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 180 GLASTONBURY BLVD
SUITE 302
GLASTONBURY, CT 06033
Registration History
1985199019952000200520102015202020252 FIRMS2005 - 2018 (13 years)2 FIRMS2018 - Present (6 years)BADVEST, INC. (CRD# 10)1981 - 2005 (24 years)IAADVEST, INC. (CRD# 10)1991 - 2005 (14 years)
Disclosure(s)
View By:
2/15/2013
Customer Dispute
Denied
11/6/1998
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
California 11/9/2018
IA
New Jersey 9/16/2021
B
Connecticut 11/9/2018
B
New York 11/9/2018
IA
Connecticut 11/9/2018
B
North Carolina 11/9/2018
B
Florida 12/18/2018
IA
North Carolina 11/9/2018
IA
Florida 12/18/2018
B
Oregon 9/27/2022
B
Georgia 11/29/2018
B
Pennsylvania 11/9/2018
B
Illinois 10/18/2023
B
Rhode Island 11/9/2018
B
Kansas 1/7/2025
B
South Carolina 11/9/2018
B
Maine 8/8/2022
B
Tennessee 1/7/2019
B
Maryland 5/12/2020
B
Texas 7/14/2020
B
Massachusetts 11/9/2018
IA
Texas 2/24/2021
B
Missouri 1/5/2021
B
Vermont 9/29/2021
B
Nevada 11/9/2018
B
Virginia 11/9/2018
B
New Hampshire 11/30/2018
B
Washington 11/9/2018
B
New Jersey 9/16/2021
B
Wisconsin 7/2/2019

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)
180 GLASTONBURY BLVD SUITE 302, GLASTONBURY, CT 06033
2385 NW Executive Center Drive Suite 200, Boca Raton, FL 33431
Registered with this firm since 11/9/2018
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
180 GLASTONBURY BLVD SUITE 302, GLASTONBURY, CT 06033
2385 NW Executive Center Drive Suite 200, Boca Raton, FL 33431
Registered with this firm since 11/9/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/18/2005 - 11/19/2018 RBC CAPITAL MARKETS, LLC (CRD#:31194) GLASTONBURY, CT
B
 11/18/2005 - 11/19/2018 RBC CAPITAL MARKETS, LLC (CRD#:31194) GLASTONBURY, CT
IA
 07/22/1991 - 12/14/2005 ADVEST, INC. (CRD#:10) GLASTONBURY, CT
B
 06/23/1981 - 12/14/2005 ADVEST, INC. (CRD#:10) HARTFORD, CT
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.