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Stuart Lee Peterson

Janney Montgomery Scott LLC

South Kingstown, RI

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-11-17
RI RA APPROVED 2014-11-17
IL RA APPROVED 2014-10-16
  • NC RA
    APPROVED
    Since 2014-11-17
  • RI RA
    APPROVED
    Since 2014-11-17
  • IL RA
    APPROVED
    Since 2014-10-16

Branch Locations

36 South County Commons Way Unit C2, South Kingstown, RI 02879 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Janney Montgomery Scott Llc Kingstown RI 10/2014 Present
Previous Registrations
  • 2008-07-16 → 2014-10-16
    J.P. Morgan Securities Llc
    Chicago, IL
    Providence, RI
  • 2007-08-21 → 2008-04-29
    Morgan Stanley & Co. Llc
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-20
S63 Uniform Securities Agent State Law Examination 2000-09-25
  • S66 Uniform Combined State Law Examination
    2007-08-20
  • S63 Uniform Securities Agent State Law Examination
    2000-09-25

View on SEC IAPD

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