William H. Watson

L.O. THOMAS & CO.

Linwood, NJ 08221

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CRD#: 1942563

Professional summary

William H Watson, who also goes by Bill Watson, is a registered financial professional currently at L.O. THOMAS & CO. INC. located in Linwood, New Jersey.

William is registered as a RR (Registered Representative) and started their career in finance in 1989. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Watson

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) - BD

Click below to view William H Watson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 4, 2007 - Present

L.O. THOMAS & CO. INC.

Office #1: Linwood Commons-suite A-6 2106 New Road, Linwood, NJ 08221

CRD#: 23657

Linwood, NJ

Past

January 12, 2005 - December 31, 2006

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

MEDFORD, NJ

Past

February 2, 2004 - December 31, 2004

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

LYNNFIELD, MA

Past

August 29, 2002 - December 31, 2006

INVESTORS CAPITAL CORP.

CRD#: 30613

MEDFORD, NJ

Past

March 19, 2002 - August 29, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

November 12, 1990 - March 27, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 12, 1990 - March 27, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 20, 1989 - August 30, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(1/4/2007)

Pennsylvania
(1/4/2007)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/26/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 5/31/1989

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

L.O. THOMAS & CO. INC.

L.O. THOMAS & CO. | L.O. THOMAS & CO. INC.

CRD#: 23657 / SEC#: , 8-40875

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

Linwood Commons-suite A-6 2106 New Road, Linwood, NJ 08221

Mailing Address

Linwood Commmons-suite A-6 2106 New Road Po Box 293, Linwood, NJ 08221

Phone number

(609) 927-4044

Established

New Jersey since 03/01/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RISLEY, JOHN WESLEY JR	PRESIDENT, FINOP, CEO,CCO	844622

Disclosures

Regulatory Event

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.

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William H. Watson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William H Watson's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

RAYMOND JAMES FINANCIAL SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/26/2004

Series 63

Date: 8/11/1989

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1989

Series 62

Date: 5/31/1989

Series 24

Date: 11/9/2004

FINRA

Current Firm

L.O. THOMAS & CO. INC.

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

L.O. THOMAS & CO. INC.

TRUST BUT VERIFY

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