Brian E. Watterson
Professional summary
Brian Eric Watterson is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Doylestown, Pennsylvania.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Eric Watterson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2016 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 48 West Oakland Ave., Doylestown, PA 18901June 8, 2011 - October 6, 2015
GUGGENHEIM SECURITIES, LLC
October 28, 2004 - June 6, 2011
KEEFE, BRUYETTE & WOODS, INC.
March 28, 1994 - November 3, 1995
CITICORP 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
(1/22/2016)
(1/6/2025)
Exams
FINRA
Current Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
Red Flags
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