Clarence C. Watkins
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.
Clarence C Watkins, who also goes by C.c. Watkins, Cc Watkins Jr., Clarence C Watkins Jr, Clarence Crumpton Watkins Jr, Clarence Crumpton Watkins, was a registered financial professional .
Clarence is a previously registered financial professional and started their career in finance in 1985. Clarence had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - January 18, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 22, 2009 - January 18, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2008 - May 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2008 - May 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 2006 - November 2, 2007
BB&T INVESTMENT SERVICES, INC.
July 18, 2006 - November 2, 2007
BB&T INVESTMENT SERVICES, INC.
May 19, 2005 - July 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 2005 - July 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2003 - May 23, 2005
CHARLES SCHWAB & CO., INC.
April 15, 2003 - May 23, 2005
CHARLES SCHWAB & CO., INC.
December 31, 2001 - April 11, 2003
CITIGROUP GLOBAL MARKETS INC.
January 18, 2000 - April 11, 2003
CITIGROUP GLOBAL MARKETS INC.
September 1, 1993 - January 20, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 1992 - August 31, 1993
FIDELITY BROKERAGE SERVICES LLC
December 19, 1991 - September 14, 1992
THE ADVISORS GROUP, INC.
January 18, 1990 - January 9, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 18, 1990 - January 9, 1992
EQUITABLE ADVISORS, LLC
January 3, 1989 - January 23, 1990
FIRST UNION BROKERAGE SERVICES, INC.
July 2, 1987 - January 31, 1989
UBS FINANCIAL SERVICES INC.
October 11, 1985 - July 31, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 11, 1985 - August 3, 1987
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
