John Clifton Watts | Financial Professional

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.

John Clifton Watts was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1984. John had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 16, 2019 - December 21, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Virginia Beach, VA

Past

May 1, 2018 - December 21, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Virginia Beach, VA

Past

October 11, 2010 - December 8, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

Davenport, FL

Past

August 24, 2010 - December 8, 2017

INVEST FINANCIAL CORPORATION

BD

CRD#: 12984

KISSMMEE, FL

Past

October 12, 2005 - December 31, 2010

FFR ADVISORY LLC

RIA

CRD#: 108602

W. LONG BRANCH, NJ

Past

September 26, 2005 - November 21, 2008

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

WALL, NJ

Past

July 18, 2005 - November 21, 2008

FSC SECURITIES CORPORATION

BD

CRD#: 7461

WALL, NJ

Past

December 17, 2004 - January 20, 2005

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

WEST LONG BRANCH, NJ

Past

December 17, 2004 - January 20, 2005

FSC SECURITIES CORPORATION

BD

CRD#: 7461

ATLANTA, GA

Past

June 8, 2004 - January 3, 2005

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 119890

WEST LONG BRANCH, NJ

Past

August 27, 1998 - January 3, 2005

APW CAPITAL, INC.

BD

CRD#: 43814

ROCKAWAY, NJ

Past

January 2, 1988 - April 20, 1990

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

SPRINGFIELD, MA

Past

September 28, 1987 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

BD

CRD#: 2682

Past

December 22, 1986 - September 15, 1997

SUMMIT EQUITIES, INC.

BD

CRD#: 11039

PARSIPPANY, NJ

Past

November 13, 1986 - January 3, 1987

GUARDIAN INVESTOR SERVICES LLC

BD

CRD#: 6635

Past

February 23, 1984 - September 30, 1986

SIGNATOR INVESTORS, INC.

BD

CRD#: 468

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".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/16/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 4/7/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 1/4/1993

General Securities Representative Examination

General Industry/Product Exam

RR

Series 22

Date: 7/2/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 2/21/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

John C. Watts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

FFR ADVISORY LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

APW CAPITAL, INC.

MML INVESTORS SERVICES, LLC

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

SUMMIT EQUITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/1997

Series 63

Date: 4/7/1989

SIE

Date: 10/1/2018

Series 7

Date: 1/4/1993

Series 22

Date: 7/2/1984

Series 6

Date: 2/21/1984

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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