David G. Watts
Professional summary
David George Watts, who also goes by David G Watts, David Watts, is a registered financial professional currently at PERSHING LLC located in Lake Mary, Florida and PERSHING ADVISOR SOLUTIONS LLC located in Lake Mary, Florida.
David is registered as a RR (Registered Representative) and started their career in finance in 1994. David has worked at 9 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 7, Series 10, Series 9, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David George Watts's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 6, 2024 - Present
PERSHING LLC
Office #1: 300 Colonial Center Parkway, Lake Mary, FL 32746May 8, 2025 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: 300 Colonial Center Parkway 4th Floor, Lake Mary, FL 32746October 13, 2021 - March 22, 2023
BOFA SECURITIES, INC.
May 11, 2015 - November 19, 2018
WELLS FARGO PRIME SERVICES, LLC
April 26, 2013 - June 29, 2021
WELLS FARGO SECURITIES, LLC
November 30, 2010 - September 13, 2011
BARCLAYS CAPITAL INC.
September 9, 2004 - October 29, 2010
UBS SECURITIES LLC
April 22, 1998 - September 21, 2004
DEUTSCHE BANK SECURITIES INC.
March 2, 1998 - March 24, 1998
DEUTSCHE BANK SECURITIES INC.
October 16, 1997 - March 2, 1998
NATWEST SECURITIES CORPORATION
December 13, 1994 - September 23, 1997
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/24/2025)
(9/6/2024)
Exams
Series 52TO
Date: 6/18/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 8
Date: 3/13/1996
General Securities Sales Supervisor Examination (Options Module & General Module)BOX Exchange LLC
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
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.
