Charles G. Watts
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Gordon Watts, who also goes by Charles G. Watts, Charles Gordon Watts, Charles Watts, Chuck Watts, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2001. Charles had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2015 - August 21, 2018
UNITED CAPITAL FINANCIAL ADVISORS
December 12, 2014 - January 23, 2015
CAPITAL INVESTMENT COUNSEL, INC
May 16, 2013 - January 26, 2015
BBVA SECURITIES INC.
January 1, 2008 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 30, 2003 - January 9, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 7, 2001 - January 9, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
