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1717 Arch Street, Philadelphia, PA 19103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2017-02-02 |
| SC | RA | APPROVED | 2017-02-02 |
Branch Locations
4140 Parklake Avenue Glenlake One, Suite 300, Raleigh, NC 27612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bb&T Securities, Llc | Raleigh | NC | 01/2013 | 02/2017 |
| Janney Montgomery Scott Llc | Raleigh | NC | 02/2017 | Present |
1) Broughton Properties LLC; Real estate; 1106 Marlowe rd. Raleigh, NC 27609; start date 1/02/1990; managing member; the only asset is a piece of raw land. we are under contract to sell; compensated anywhere from $0 - 5,000; 3hr/month; account #'s 1006-3180, 4480-5120; not investment-related 2) High Hopes, LLC, Raleigh, NC. Member of LLC: RE investment, no active role. Not compensated, passive investment, 09/1999. 3) Broughton Bailey LLC, Raleigh, NC. Member of LLC since 06/1986. Rental of space, compensated quarterly, not actively involved. 4) Workspace 1 LLC, Raleigh, NC. Member of LLC since 01/1998. Compensated quarterly based on output, not investment related. 5) Rental Property, Raleigh, NC. Part -ownership w/sibling. No day-to-day involvement, not investment related, rental income.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-19 |
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