Individual Firm
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HADEN THURSTON DUDLEY III
HADEN THURSTON DUDLEY, KELLEY DUDLEY
CRD#: 866608
IA
B
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 110 Franklin Road SE
Suite 500
Roanoke, VA 24011
Suite 500
Roanoke, VA 24011
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6/4/2004
Customer Dispute
Denied
3/7/2000
Customer Dispute
Closed-No Action
State Registrations
B
Colorado 9/28/2023
B
Oregon 9/28/2023
B
Florida 9/28/2023
B
Pennsylvania 9/28/2023
B
Georgia 9/28/2023
B
Tennessee 9/28/2023
B
Maryland 9/28/2023
B
Virginia 9/28/2023
B
Nevada 9/28/2023
IA
Virginia 9/28/2023
B
North Carolina 10/9/2023
B
West Virginia 9/28/2023
SRO Registrations
B
B
B
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IA
Registered with this firm since 9/28/2023
B
Registered with this firm since 9/28/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/21/2002 - 10/05/2023 | ROANOKE, VA | |
B | 06/15/2002 - 10/05/2023 | ROANOKE, VA | |
IA | 08/16/2000 - 06/21/2002 | ROANOKE, VA | |
B | 07/07/2000 - 06/15/2002 | CHARLOTTE, NC | |
B | 05/24/1979 - 07/13/2000 | NEW YORK, NY |
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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.