JB
Joseph M. Broughton
JANNEY MONTGOMERY SCOTT LLC
Raleigh, NC 27612
Some features on this profile are disabled
CRD#: 1140958
JB
Professional summary
Joseph Melville Broughton III, who also goes by Joseph Melville Broughton, Mel Broughton III, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Raleigh, North Carolina.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Joseph has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Melville Broughton | Mel Broughton Iii
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Melville Broughton III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Melville Broughton III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 2, 2017 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4140 Parklake Avenue Glenlake One, Suite 300, Raleigh, NC 27612RIA
BD
CRD#: 463
Raleigh, NC
Current
February 2, 2017 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 4140 Parklake Avenue Glenlake One, Suite 300, Raleigh, NC 27612RIA
BD
CRD#: 463
Raleigh, NC
Past
January 2, 2013 - February 16, 2017
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RALEIGH, NC
Past
January 2, 2013 - February 16, 2017
BB&T SECURITIES, LLC
BD
CRD#: 142785
RALEIGH, NC
Past
February 17, 2000 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
RALEIGH, NC
Past
May 5, 1999 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
RALEIGH, NC
Past
February 1, 1995 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
BD
CRD#: 3309
RICHMOND, VA
Past
December 20, 1991 - February 9, 1995
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
May 8, 1989 - January 8, 1992
FIRST CAROLINA INVESTMENT CORP.
BD
CRD#: 22515
Past
March 23, 1984 - May 20, 1989
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/24/2023)
RR
Arizona(2/9/2018)
RR
Arkansas(2/9/2018)
RR
Colorado(11/28/2018)
RR
District of Columbia(1/23/2019)
RR
Florida(6/6/2023)
RR
Georgia(8/15/2022)
RR
Minnesota(4/2/2020)
RR
New Mexico(8/30/2021)
RR
New York(2/2/2017)
RR
North Carolina(2/2/2017)
IAR
North Carolina(2/2/2017)
RR
Ohio(8/3/2022)
RR
Oregon(6/27/2023)
RR
Pennsylvania(2/2/2017)
RR
South Carolina(2/2/2017)
IAR
South Carolina(2/2/2017)
RR
Virginia(4/10/2017)
RR
Washington(1/23/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Raleigh, NC 27612TRUST BUT VERIFY
Monitor Joseph Broughton
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
