James R. Watt
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.
James Raymond Watt was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 4 firms and has passed the Series 63, SIE, 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
June 29, 2009 - January 19, 2016
FIRST EMPIRE SECURITIES, INC.
July 23, 1996 - July 2, 2009
MISCHLER FINANCIAL GROUP, INC.
April 28, 1995 - July 23, 1996
GILFORD SECURITIES INCORPORATED
January 27, 1989 - May 15, 1995
LIBERTY CAPITAL MARKETS, INC.
May 26, 1987 - January 4, 1989
FIRST EMPIRE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST EMPIRE SECURITIES, INC.
CRD#: 15129 / SEC#: , 8-31701
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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