Stanley E. 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.
Stanley Eugene Watson was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1988. Stanley had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2020 - February 24, 2023
APEX CLEARING CORPORATION
June 29, 2016 - February 24, 2023
ELECTRONIC TRANSACTION CLEARING, INC.
July 30, 2007 - June 14, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
July 3, 2002 - May 1, 2007
WESTERN INTERNATIONAL SECURITIES, INC.
July 3, 2002 - June 14, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
February 2, 1998 - July 18, 2002
UBS FINANCIAL SERVICES INC.
January 23, 1998 - July 18, 2002
UBS FINANCIAL SERVICES INC.
May 20, 1991 - December 22, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 1988 - January 4, 1991
PFS INVESTMENTS 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
APEX CLEARING CORPORATION
CRD#: 13071 / SEC#: , 8-23522
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | SHAREHOLDER | |
| CAPUZZI, WILLIAM WALTER | CHIEF EXECUTIVE OFFICER | 4323894 |
| COUGHLIN, CONNOR DANIEL | CHIEF CUSTOMER OFFICER | 6665836 |
| DUCKWORTH, PAUL D | FINOP, PRINCIPAL FINANCIAL OFFICER | 3202937 |
| LOUIS-CHARLES, FRITZ | CHIEF OPERATIONS OFFICER (INCLUDES PRINCIPAL OPERATIONS OFFICER ROLE) | 3232698 |
| RAY, TERRY DAVID | CHIEF REVENUE OFFICER | 5295510 |
| TOURNEY, ROBERT ANDREW | CHIEF COMPLIANCE OFFICER | 6251742 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
