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Don Edward Watkins

CRD# 1262482·Registered 1984 - 2012
Previously Registered: Being a previously registered professional could mean that Don 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.

Professional Summary

Don Edward Watkins was a registered financial advisor. Don was a previously registered financial professional and started their career in finance 1984 - 2012. Don had worked at 16 firms and has passed the Series 63, Series 4, Series 53, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

S&P INVESTORS, INC.·CRD# 18421
BD
Dallas, TX
January 27, 2006 - September 24, 2012
S&P INVESTORS, INC.·CRD# 18421
BD
Dallas, TX
March 11, 2004 - July 7, 2004
WEBER INVESTMENT CORPORATION·CRD# 28346
BD
Dallas, TX
December 19, 1997 - July 23, 2001
GWM GROUP, INC.·CRD# 42844
BD
Greenwich, CT
May 20, 1997 - January 25, 2006
CG CAPITAL MARKETS, LLC·CRD# 35513
BD
Boca Raton, FL
April 28, 1997 - March 1, 1999
INVESTORS ST.·CRD# 30779
BD
Miami, FL
September 11, 1996 - June 9, 1997
MOUNTAIN RIVER SECURITIES, INC.·CRD# 36937
BD
Denver, CO
January 11, 1995 - July 28, 1997
TAYLOR, PRUITT & SYLVESTER, INC.·CRD# 36351
BD
June 29, 1994 - September 6, 1994
SUPERIOR FINANCIAL GROUP, INC.·CRD# 35529
BD
Lb29 Dallas, TX
April 6, 1994 - July 10, 1996
SOLOMON ADVISORS·CRD# 26610
BD
Dallas, TX
October 5, 1993 - December 6, 1995
AMR SECURITIES, INC.·CRD# 23368
BD
April 19, 1993 - July 15, 1993
TEAM BROKERAGE, INC.·CRD# 17671
BD
Ft. Worth, TX
October 28, 1992 - December 17, 1992
ALLIANCE FINANCIAL GROUP, INC.·CRD# 28538
BD
Fort Worth, TX
July 8, 1991 - December 31, 2009
TEXAKOMA FINANCIAL, INC.·CRD# 16910
BD
Plano, TX
June 25, 1991 - September 2, 1992
LOBO SECURITIES, INC.·CRD# 28242
BD
Dallas, TX
April 8, 1991 - July 1, 1991
WEBER, HALL, SALE & ASSOCIATES, INC.·CRD# 876
BD
Dallas, TX
August 17, 1988 - May 31, 1991
DFW CLEARING, INC.·CRD# 7736
BD
May 7, 1984 - June 1, 1988

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Current Firm

SI
S&P INVESTORS, INC.

MCGARRAHAN HEPWORTH, INC. | S&P INVESTORS, INC. | S & P INVESTORS, INC.

CRD#: 18421 / SEC#: 8-36653
BD
Terminated by SEC on 11/23/2012

Contact Information

Established

Texas since 08/20/1986

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
POTTER, STUART GOODWIN JRPRESIDENT366432
POTTER, STUART GOODWIN JRCHIEF COMPLIANCE OFFICER366432
ANDREW, EDWARD KENNARDSHAREHOLDER842289
HEPWORTH, MARK LAYTONSTOCKHOLDER709274
POTTER, ELIZABETH MITCHELLSECRETARY2144121
WATKINS, DON EDWARDFINANCIAL OPERATIONS PRINCIPLE,SCROP1262482

Disclosures

Regulatory Event

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1984About the Series 63 exam

Series 4 — Registered Options Principal Examination

Passed Oct 1985About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Aug 1985About the Series 53 exam

Series 27 — Financial and Operations Principal Examination

Passed Oct 1984About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jun 1984About the Series 24 exam

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CRS (Client Relationship Summary)

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

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