Individual Firm
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RICHARD CARL LAWSON
CRD#: 816698
IA
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JANNEY MONTGOMERY SCOTT LLCCRD#: 463 15 N. Main Street
SUITE 300
WEST HARTFORD, CT 06107-2420
SUITE 300
WEST HARTFORD, CT 06107-2420
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8/9/2005
Customer Dispute
Settled
State Registrations
B
Alabama 9/18/2015
B
Nevada 1/23/2025
B
Arizona 7/31/2008
B
New Hampshire 1/9/2025
B
Arkansas 1/31/2025
B
New Jersey 3/2/2007
B
California 3/2/2007
IA
New Jersey 10/1/2009
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California 3/12/2013
B
New York 3/2/2007
B
Colorado 1/26/2022
IA
North Carolina 10/23/2008
B
Connecticut 3/2/2007
B
North Carolina 7/6/2016
IA
Connecticut 3/6/2007
B
Ohio 4/29/2011
B
District of Columbia 1/17/2025
IA
Ohio 7/5/2011
B
Florida 3/2/2007
B
Oklahoma 3/5/2007
B
Georgia 3/2/2007
B
Oregon 1/27/2025
B
Hawaii 2/24/2025
B
Pennsylvania 3/2/2007
B
Idaho 1/16/2025
B
Rhode Island 12/27/2016
B
Illinois 3/2/2007
B
South Carolina 3/28/2007
B
Iowa 1/9/2025
B
South Dakota 1/23/2025
B
Kansas 4/12/2022
B
Texas 5/19/2023
B
Kentucky 11/2/2020
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Texas 5/19/2023
B
Maine 3/2/2007
B
Utah 1/17/2025
B
Maryland 3/2/2007
B
Vermont 1/10/2019
B
Massachusetts 3/7/2007
B
Virginia 3/11/2021
B
Michigan 1/21/2025
B
Washington 1/16/2025
B
Minnesota 3/6/2007
B
Wisconsin 3/4/2025
B
Missouri 3/2/2007
SRO Registrations
B
B
B
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IA
Registered with this firm since 3/6/2007
B
Registered with this firm since 3/2/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/08/2006 - 03/05/2007 | WEST HARTFORD, CT | |
B | 03/08/2006 - 03/05/2007 | WEST HARTFORD, CT | |
IA | 04/25/1991 - 03/08/2006 | WEST HARTFORD, CT | |
B | 01/02/1976 - 03/08/2006 | HARTFORD, CT |
WEST HARTFORD, CT
03/08/2006 - 03/05/2007
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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.