Richard B. 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.
Richard Bradley Watson, who also goes by Brad Watson, R Bradley Watson, Richard B Watson, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1993. Richard had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2013 - September 17, 2015
QUESTAR ASSET MANAGEMENT, INC.
February 8, 2013 - September 17, 2015
QUESTAR CAPITAL CORPORATION
May 4, 2012 - December 5, 2012
FIRST AMERICAN SECURITIES, INC.
August 19, 2011 - December 5, 2012
FIRST AMERICAN SECURITIES, INC.
March 14, 2011 - July 27, 2011
OAK STREET SECURITIES, INC.
September 15, 2010 - July 27, 2011
OAK STREET SECURITIES, INC.
October 28, 2008 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 24, 2008 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 2, 2006 - October 3, 2008
LASALLE FINANCIAL SERVICES, INC.
April 24, 2002 - October 24, 2008
LASALLE FINANCIAL SERVICES, INC.
May 2, 2000 - April 3, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 1993 - May 15, 2000
AMERIPRISE ADVISOR SERVICES, INC.
January 13, 1993 - July 6, 1993
WOODBURY FINANCIAL SERVICES, 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 8
Date: 12/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
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.
