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Lupton Thomson Haigler

Janney Montgomery Scott LLC

Raleigh, NC

Morehead City, NC

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-07-22
TX RA APPROVED 2021-07-22
  • NC RA
    APPROVED
    Since 2021-07-22
  • TX RA
    APPROVED
    Since 2021-07-22

Branch Locations

4140 Parklake Avenue Glenlake One, Suite 300, Raleigh, NC 27612 • United States

4252 Arendall Street Suite I, Morehead City, NC 28557 • 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
Bb&T Securities, Llc Morehead City NC 07/2020 02/2021
Bb&T Capital Markets Charlotte NC 03/2010 07/2020
Truist Investment Services, Inc. Morehead City NC 02/2021 07/2021
Truist Advisory Services, Inc. Atlanta GA 02/2021 07/2021
Janney Montgomery Scott Llc Morehead City NC 07/2021 Present
  • 07/2020 → 02/2021
    Bb&T Securities, Llc
    Morehead City, NC
  • 03/2010 → 07/2020
    Bb&T Capital Markets
    Charlotte, NC
  • 02/2021 → 07/2021
    Truist Investment Services, Inc.
    Morehead City, NC
  • 02/2021 → 07/2021
    Truist Advisory Services, Inc.
    Atlanta, GA
  • 07/2021 → Present
    Janney Montgomery Scott Llc
    Morehead City, NC
Previous Registrations
  • 2021-02-17 → 2021-07-23
    Truist Advisory Services, Inc.
    Atlanta, GA
  • 2020-07-10 → 2021-02-17
    Bb&T Securities, Llc
    New York, NY
    Charlotte, NC
    Morehead City, NC
    Richmond, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-09
S63 Uniform Securities Agent State Law Examination 2015-06-15
  • S66 Uniform Combined State Law Examination
    2020-07-09
  • S63 Uniform Securities Agent State Law Examination
    2015-06-15

View on SEC IAPD

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CALEB ROBERT GRIFFITH
William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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