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CW

Charles N. Watson

Some features on this profile are disabled
CRD#: 2319539
CW

Professional summary

Charles Norman Watson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Charles had worked at 6 firms, which includes CAPITAL SECURITIES OF AMERICA INC., ALLEN DOUGLAS SECURITIES INC., SUNAMERICA SECURITIES INC., SECURITIES AMERICA INC., JWGENESIS FINANCIAL GROUP INC, CHATFIELD DEAN & CO. INC..

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

October 28, 2004 - March 29, 2005

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

August 20, 2001 - October 30, 2002

ALLEN DOUGLAS SECURITIES, INC.

BD
CRD#: 42410
WINTER PARK, FL
Past

March 2, 2001 - September 6, 2001

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

May 30, 2000 - March 1, 2001

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

January 4, 1999 - June 5, 2000

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

March 22, 1993 - January 4, 1999

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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: 3/26/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/17/1995
General Securities Principal Examination

Current Firm

CS
CAPITAL SECURITIES OF AMERICA, INC.
CAPITAL CITY INVESTMENTS | THE OASIS ASSET MANAGEMENT, LLC | SOUTH BAY INVESTMENT GROUP, LLC | PROACTIVE PORTFOLIO MANAGEMENT, LLC | PERRY REGHETTI & ASSOCIATES | LONE TREE FINANCIAL GROUP, LLC | KALTBAUM & ASSOCIATES | CORE INVESTMENTS | CAPITAL SECURITIES OF AMERICA, INC. | CAPITAL SECURITIES OF AMERICA

CRD#: 36405 / SEC#: , 8-47253

BD
Terminated by SEC on 05/01/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 08/06/1992
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WUNDERLICH INVESTMENT COMPANY, INCSHAREHOLDER
CLINE, JERRY LEEPRESIDENT1350020
CLINE, JERRY LEESECRETARY1350020
MOHNEY, BRIAN EUGENESROP, COO, CFO, CROP2890043
WISWALL, TRACY LEIGHTONCHIEF COMPLIANCE OFFICER3023407
WUNDERLICH, GARY KENT JRCHIEF EXECUTIVE OFFICER2256877

Disclosures

Regulatory Event4
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

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