Joseph Broughton is a registered investment advisor at Janney Montgomery Scott LLC, based in Raleigh, NC, with 42 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 239,256 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Janney charges a fee based on a percentage of the assets managed in your account. This fee covers investment management, trading, custody, and performance reporting. Fees are negotiable and may vary based on the size of your account and the services provided. Janney may also offer investment advisory services on a non-wrap basis, where you pay separately for transactions and custody.
Location
4140 Parklake Avenue, Glenlake One, Suite 300, Raleigh, NC, 27612
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Joseph is a managing member of Broughton Properties LLC, which owns a piece of raw land under contract to sell, and spends minimal time on it. He is also a member of High Hopes LLC, Broughton Bailey LLC, and Workspace 1 LLC, as well as part-owner of a rental property, all of which generate income and require minimal involvement.
Employment History
Current Registrations
Janney Montgomery Scott LLC
Janney Montgomery Scott LLCBroker
Previous Registrations
Bb&t Securities, LLC
Bb&t Securities, LLCBroker
Scott & Stringfellow, LLC
Scott & Stringfellow, LLCBroker
Scott & Stringfellow, INC.Broker
Robert Thomas Securities, INCBroker
First Carolina Investment CORP.Broker
Wheat, First Securities, INC.Broker
State Registrations17 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.