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Richard Carl Lawson

Janney Montgomery Scott LLC

West Hartford, CT

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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 2023-05-19
CA RA APPROVED 2013-03-12
OH RA APPROVED 2011-07-05
NJ RA APPROVED 2009-10-01
NC RA APPROVED 2008-10-23
CT RA APPROVED 2007-03-06
  • TX RA
    APPROVED_RES
    Since 2023-05-19
  • CA RA
    APPROVED
    Since 2013-03-12
  • OH RA
    APPROVED
    Since 2011-07-05
  • NJ RA
    APPROVED
    Since 2009-10-01
  • NC RA
    APPROVED
    Since 2008-10-23
  • CT RA
    APPROVED
    Since 2007-03-06

Branch Locations

15 N. Main Street Suite 300, West Hartford, CT 06107-2420 • 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
Janney Montgomery Scott Llc West Hartford CT 03/2007 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-03-14
  • S63 Uniform Securities Agent State Law Examination
    1984-03-14

View on SEC IAPD

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Other Investors

David Walter McCary
EDWARD ALLEN STEIGER
JENNIFER E LANGE
RICHARD JOSEPH CARDINAL
PAUL FRANCIS VAIDA
Andrew John Lawson
Alexis Jankauskas
ROBERT MARK BORKOWSKI

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CETERA INVESTMENT ADVISERS LLC · WEST HARTFORD, CT
LPL FINANCIAL LLC · WEST HARTFORD, CT
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