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60 Broad St. 39Th Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-11 |
| NJ | RA | APPROVED | 2018-10-23 |
| PA | RA | APPROVED | 2018-10-19 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | New York | NY | 02/2003 | Present |
| Wellington Shields & Company, Llc | New York | NY | 10/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1980-09-10 |
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