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TW

Thomas J. Watson

Some features on this profile are disabled
CRD#: 1714318
TW

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.

Thomas John Watson was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 12 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 19, 1992 - April 23, 1993

AEGON USA SECURITIES INC.

BD
CRD#: 13302
Past

June 12, 1990 - May 16, 1991

KOBER FINANCIAL CORP.

BD
CRD#: 17551
Past

January 8, 1990 - June 13, 1990

MALONE & ASSOCIATES, INC.

BD
CRD#: 10412
Past

November 24, 1989 - January 11, 1990

VANDERBILT SECURITIES, INC.

BD
CRD#: 14280
Past

October 3, 1989 - November 29, 1989

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

July 27, 1989 - October 24, 1989

BRENNAN ROSS SECURITIES, INC.

BD
CRD#: 18363
Past

June 29, 1989 - July 31, 1989

WELLSHIRE SECURITIES, INC.

BD
CRD#: 17939
Past

April 12, 1989 - July 7, 1989

MORGAN GLADSTONE & CO. INC.

BD
CRD#: 17062
Past

April 12, 1989 - September 13, 1989

WINSTON-FROST SECURITIES, INC.

BD
CRD#: 19009
Past

November 1, 1988 - November 8, 1988

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

April 19, 1988 - November 7, 1988

AMERIMUTUAL CORPORATION

BD
CRD#: 15573
Past

March 1, 1988 - April 19, 1988

DUNHILL, LORD & COMPANY

BD
CRD#: 16948
Past

February 24, 1988 - March 17, 1988

PARKER JAMESON, INC.

BD
CRD#: 18409

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination

Current Firm

AU
AEGON USA SECURITIES INC.
AEGON USA SECURITIES INC. | MIDAMERICA MANAGEMENT CORPORATION | LIFE INVESTORS MANAGEMENT CORPORATION | AEGON USA SECURITIES, INC.

CRD#: 13302 / SEC#: , 8-9158

BD
Terminated by SEC on 08/01/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 11/23/1959
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

AEGON USA SECURITIES INC.

CRD#: 13302

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