Henry A. Watson
Professional summary
Henry Al Dean Watson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Henry is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Henry had worked at 7 firms, which includes J.J.B. HILLIARD W.L. LYONS LLC, SCOTT & STRINGFELLOW LLC, EDGAR M. NORRIS & CO. INC., BANC OF AMERICA INVESTMENT SERVICES INC., NATIONSSECURITIES, RAYMOND JAMES & ASSOCIATES INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2012 - October 12, 2016
J.J.B. HILLIARD, W.L. LYONS, LLC
January 26, 2012 - October 12, 2016
J.J.B. HILLIARD, W.L. LYONS, LLC
April 27, 2005 - February 8, 2012
SCOTT & STRINGFELLOW, LLC
August 21, 2001 - February 8, 2012
SCOTT & STRINGFELLOW, LLC
September 8, 2000 - December 7, 2000
EDGAR M. NORRIS & CO., INC.
January 1, 1998 - September 12, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
April 22, 1991 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 27, 1989 - April 18, 1991
RAYMOND JAMES & ASSOCIATES, INC.
December 21, 1984 - March 2, 1989
UBS FINANCIAL SERVICES INC.
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
J.J.B. HILLIARD, W.L. LYONS, LLC
CRD#: 453 / SEC#: 801-23120, 8-33133
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HL FINANCIAL SERVICES, LLC | MEMBER | |
| ALLEN, JAMES REID | CHAIRMAN OF THE BOARD, CEO | 1014622 |
| AMATO, ANTHONY NICHOLAS JR | PRINCIPAL OPERATIONS OFFICER | 1329288 |
| ASFAHL, DONALD LEE | EXECUTIVE VICE PRESIDENT | 2824358 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| CUTSINGER, CHARLES JOSEPH JR. | EXECUTIVE VICE PRESIDENT | 2065360 |
| GRIMLEY, CHARLES MORRISON | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 1121284 |
| KAPLAN, ELIZABETH C | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4619011 |
| KESSINGER, THOMAS BURKS III | DIRECTOR, PRESIDENT | 2366538 |
| MILLER, CARMELLA RASI | CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT | 1879379 |
| NEWMAN, ALAN HAMBURG | EXECUTIVE VICE PRESIDENT | 719981 |
| PAPACHRISTOU, NICHOLAS | CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT | 6464162 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| WHITE, JALEIGH JEFFERS | EXECUTIVE VICE PRESIDENT | 5950788 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 31 |
Red Flags
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