Bruce R. 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.
Bruce Randall Watts was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1986. Bruce had worked at 8 firms and has passed the Series 63, SIE, Series 82, Series 7 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
July 5, 2016 - December 31, 2017
GOLDEN EAGLE SECURITIES, INC.
June 29, 1998 - August 9, 2002
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 3, 1996 - September 2, 1997
SBC WARBURG, INC.
June 10, 1994 - June 3, 1996
S.G. WARBURG & CO. INC.
August 17, 1989 - February 1, 1994
TUCKER ANTHONY INCORPORATED
July 29, 1987 - June 3, 1989
NEEDHAM & COMPANY, LLC
January 24, 1986 - June 19, 1987
MORGAN KEEGAN & COMPANY, LLC
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
GOLDEN EAGLE SECURITIES, INC.
CRD#: 19586 / SEC#: , 8-37788
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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