Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Melville Broughton is a registered investment advisor representative with Janney Montgomery Scott LLC. Joseph has been in the securities industry since March 22, 1984. He is currently registered with the state of North Carolina and South Carolina. Prior to joining Janney Montgomery Scott LLC, Joseph worked for BB&T Securities, LLC and Scott & Stringfellow, LLC. Joseph is also a member of several other businesses, including Broughton Properties LLC, High Hopes, LLC, and Broughton Bailey LLC. Joseph is a member of the Financial Industry Regulatory Authority (FINRA).
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fee plus commission
1
2
NC
02/02/2017 - Present
Janney Montgomery Scott LLC (RALEIGH NC)
NC
01/02/2013 - 02/16/2017
BB&T SECURITIES, LLC (RALEIGH NC)
NC
05/05/1999 - 01/02/2013
SCOTT & STRINGFELLOW, LLC (RALEIGH NC)
VA
02/01/1995 - 05/05/1999
SCOTT & STRINGFELLOW, INC. (RICHMOND VA)
FL
12/20/1991 - 02/09/1995
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
NA
05/08/1989 - 01/08/1992
FIRST CAROLINA INVESTMENT CORP.
NA
03/23/1984 - 05/20/1989
WHEAT, FIRST SECURITIES, INC.
IA
Issued 06/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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