James L. Watts
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 Lawrence Watts, who also goes by Jim Watts, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7, Series 27 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
April 7, 2021 - December 19, 2022
MID-MARKET SECURITIES, LLC
November 7, 2017 - December 17, 2018
MID-MARKET SECURITIES, LLC
May 3, 2016 - September 6, 2016
MERRIMAN CAPITAL, INC.
January 13, 2012 - July 2, 2014
HUNTER WISE SECURITIES, LLC
February 11, 2011 - December 6, 2011
FMV CAPITAL MARKETS, LLC
August 30, 1999 - February 3, 2012
PACIFIC SUMMIT SECURITIES
February 22, 1999 - August 24, 1999
ROTH CAPITAL PARTNERS, LLC
November 7, 1997 - February 22, 1999
PACIFIC SUMMIT SECURITIES
November 1, 1995 - December 31, 1996
PACIFIC SUMMIT SECURITIES
March 8, 1995 - July 25, 1995
E*OFFERING
October 14, 1993 - March 14, 1995
PACIFIC SUMMIT SECURITIES
March 6, 1989 - September 16, 1993
ROTH CAPITAL PARTNERS, LLC
July 21, 1987 - December 4, 1987
FIRST AFFILIATED SECURITIES, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
MID-MARKET SECURITIES, LLC
CRD#: 126750 / SEC#: , 8-65905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIEN, ROBERT WILLIAM | PRESIDENT & CEO/GSP/CCO/FINOP | 2289694 |
Disclosures
| Regulatory Event | 2 |
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.
