Thomas W. Watts

WATTS CAPITAL PARTNERS LLC

New York, NY

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CRD#: 2598112

Professional summary

Thomas Wynne Watts IV, CFP® is a registered financial advisor currently at WATTS CAPITAL PARTNERS LLC located in New York, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 87, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Investment Planning

Comprehensive Financial Planni...

Estate Planning

Are you a "fiduciary"?

Yes

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.

WealthEdge Investment Advisors, LLC, Investment Related, 99 Park Avenue, Suite 1920, New York, NY 10016, Wealth Management, Director of Investments under contract through Watts Capital Partners, LLC, 02/2022 - present, ~25 hours per month with hours per month during trading hours, Act as Chief Investment Officer and lead company's investment management business. Radius Management, LLC, Investment Related, 99 Park Avenue, Suite 1920, New York, NY 10016, investment company focused on high-speed broadband, Managing Member, 05/2018 - present, ~8 hours per month with ~4 hours per month during trading hours, Evaluate and manage investments in private broadband companies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Wynne Watts IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

June 5, 2023 - Present

WATTS CAPITAL PARTNERS LLC

RIA

CRD#: 149049

New York, NY

Past

January 17, 2018 - December 31, 2022

WATTS CAPITAL PARTNERS LLC

RIA

CRD#: 149049

NEW YORK, NY

Past

October 13, 2010 - September 6, 2019

KARBONE CAPITAL MARKETS, LLC

CRD#: 150704

New York, NY

Past

September 30, 2009 - December 31, 2016

WATTS CAPITAL PARTNERS LLC

RIA

CRD#: 149049

NEW YORK, NY

Past

April 15, 2002 - November 11, 2008

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

February 5, 2002 - April 23, 2002

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

February 27, 1997 - February 5, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 14, 1995 - January 24, 1997

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATTS CAPITAL PARTNERS LLC

NAME 619 | WATTS CAPITAL PARTNERS LLC

CRD#: 149049 / SEC#: 801-78813

RIA

Registered Investment Advisory firm - (11/19/2013 Approved)

Connecticut

Registered Investment Advisory firm - (12/5/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (12/4/2013 Terminated)

New York

Registered Investment Advisory firm - (12/4/2013 Terminated)

Oregon

Registered Investment Advisory firm - (12/4/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/5/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/6/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/26/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 87

Date: 8/24/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 6/13/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2009

General Securities Principal Examination

Current Firm

WATTS CAPITAL PARTNERS LLC

NAME 619 | WATTS CAPITAL PARTNERS LLC

CRD#: 149049 / SEC#: 801-78813

RIA

Registered Investment Advisory firm - (11/19/2013 Approved)

Connecticut

Registered Investment Advisory firm - (12/5/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (12/4/2013 Terminated)

New York

Registered Investment Advisory firm - (12/4/2013 Terminated)

Oregon

Registered Investment Advisory firm - (12/4/2013 Terminated)

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Contact information

Main Address

New York, NY

Mailing Address

Phone number

(212) 735-8921

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATTS FORM 2B - TY BUCKELEW (2/14/2025)

WATTS FORM 2B - TOM WATTS (2/14/2025)

WATTS CAPITAL PARTNERS CLIENT BROCHURE 2025 (2/14/2025)

Regulatory assets under management

Total Number of Accounts	405
AUM (Assets Under Management)	$ 72,938,892

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.

Contact information

xxxxx@xxxx.xxx

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Thomas W. Watts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Wynne Watts IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATTS CAPITAL PARTNERS LLC

KARBONE CAPITAL MARKETS, LLC

WATTS CAPITAL PARTNERS LLC

COWEN AND COMPANY

ABN AMRO INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

WATTS CAPITAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2009

Series 63

Date: 9/21/1995

SIE

Date: 10/1/2018

Series 3

Date: 5/26/2015

Series 87

Date: 8/24/2004

Series 7

Date: 6/13/1995

Series 24

Date: 12/18/2009

Current Firm

WATTS CAPITAL PARTNERS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATTS CAPITAL PARTNERS LLC

TRUST BUT VERIFY

Contact information

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