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AW

Andrew N. Watson

Some features on this profile are disabled
CRD#: 2498864
AW

Professional summary

Andrew Neal Watson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andrew is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Andrew had worked at 2 firms, which includes VERITY INVESTMENTS INC., PFS INVESTMENTS 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 9, 1996 - August 31, 1998

VERITY INVESTMENTS, INC.

BD
CRD#: 41527
DURHAM, NC
Past

June 14, 1994 - August 26, 1996

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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: 6/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 6/13/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 7/31/1996
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

VI
VERITY INVESTMENTS, INC.
BROKERAGE360 | VERITY INVESTMENTS, INC.

CRD#: 41527 / SEC#: , 8-49474

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
280 S Mangum St Ste 550, Durham, NC 27701-3683
Mailing Address
280 S Mangum St Ste 550, Durham, NC 27701-3683
Phone number
(919) 490-6717
Established
North Carolina since 06/27/2011
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VERITY FINANCIAL GROUP, INC.PARENT COMPANY
MUNSEY, JEFF ALANVICE PRESIDENT2777033
SIMONSON, AMY LOUISEVICE PRESIDENT/ PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER2326511
WEGWART, GORDON THOMASPRESIDENT/EXECUTIVE REP/CHIEF COMPLIANCE OFFICER1108685

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.

Company Information

VERITY INVESTMENTS, INC.

CRD#: 41527

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