Delia T. Watson
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.
Delia Torgerson Watson, who also goes by Delia Torgerson, Dee Watson, Delia Marie Torgerson Watson, was a registered financial professional .
Delia is a previously registered financial professional and started their career in finance in 1985. Delia had worked at 18 firms and has passed the Series 63, 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
July 31, 2007 - August 3, 2009
WOODSTOCK FINANCIAL GROUP, INC.
February 8, 2007 - June 11, 2007
J.P. TURNER & COMPANY, L.L.C.
November 17, 2005 - February 9, 2007
MOORS & CABOT FINANCIAL ADVISORS, LLC
July 28, 2003 - August 21, 2006
MOORS & CABOT, INC.
January 8, 2002 - August 18, 2003
BENSON YORK GROUP, INC.
June 19, 2000 - December 31, 2001
WALNUT STREET SECURITIES, INC.
October 29, 1999 - May 19, 2000
RICHMARK CAPITAL CORPORATION
July 20, 1999 - October 19, 1999
PREMIER CAPITAL MANAGEMENT, INC.
June 28, 1999 - July 20, 1999
PREMIER CAPITAL MANAGEMENT, INC.
January 3, 1997 - June 22, 1999
WOODSTOCK FINANCIAL GROUP, INC.
July 6, 1995 - December 31, 1996
FIRST MONTAUK SECURITIES CORP.
September 5, 1991 - August 7, 1995
BARRON CHASE SECURITIES, INC.
August 19, 1991 - September 10, 1991
CHESAPEAKE SECURITIES RESEARCH CORPORATION
January 29, 1991 - August 13, 1991
BILTMORE SECURITIES, INC.
November 24, 1990 - February 7, 1991
CHATFIELD DEAN & CO., INC.
November 10, 1989 - November 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
May 31, 1989 - November 15, 1989
FIRST AFFILIATED SECURITIES
January 20, 1989 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
January 2, 1987 - February 1, 1989
J. W. GANT & ASSOCIATES, INC.
September 22, 1986 - January 2, 1987
MICHELIN AND COMPANY, INC.
November 19, 1985 - September 25, 1986
THE STUART-JAMES COMPANY, INCORPORATED
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
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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.
