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Michael Patrick Geisen

Janney Montgomery Scott LLC

Riverhead, NY

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-12-03
MA RA APPROVED 2018-03-12
FL RA APPROVED 2018-02-21
TX RA APPROVED_RES 2018-02-21
CT RA APPROVED 2017-11-21
  • NY RA
    APPROVED
    Since 2021-12-03
  • MA RA
    APPROVED
    Since 2018-03-12
  • FL RA
    APPROVED
    Since 2018-02-21
  • TX RA
    APPROVED_RES
    Since 2018-02-21
  • CT RA
    APPROVED
    Since 2017-11-21

Branch Locations

1116 Main Road Suites 1 & 2, Riverhead, NY 11901 • 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
Morgan Stanley Smith Barney Riverhead NY 06/2009 10/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 10/2017
Janney Montgomery Scott, Llc Hauppauge NY 10/2017 04/2020
Janney Montgomery Scott Llc Riverhead NY 04/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-12-03
S66 Uniform Combined State Law Examination 2018-02-20
S63 Uniform Securities Agent State Law Examination 2000-03-23
  • S65 Uniform Investment Adviser Law Examination
    2021-12-03
  • S66 Uniform Combined State Law Examination
    2018-02-20
  • S63 Uniform Securities Agent State Law Examination
    2000-03-23
Other Names
  • Michael Geisen

View on SEC IAPD

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