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Steven N Perlman

Janney Montgomery Scott LLC

Boston, MA

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-09-24
MA RA APPROVED 2018-06-28
  • TX RA
    APPROVED_RES
    Since 2024-09-24
  • MA RA
    APPROVED
    Since 2018-06-28

Branch Locations

60 State Street Suite 1350, Boston, MA 02109-1803 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates Wellesley Hills MA 04/2006 05/2018
Janney Montgomery Scott Llc Boston MA 05/2018 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-06-18
S63 Uniform Securities Agent State Law Examination 1994-09-13
  • S65 Uniform Investment Adviser Law Examination
    2018-06-18
  • S63 Uniform Securities Agent State Law Examination
    1994-09-13
Other Names
  • Steven Nathan Perlman
  • Steve Perlman

View on SEC IAPD

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