Sean S. 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.
Sean St Aubyn Watson, who also goes by Sean St. Aubyn Watson, Sean Staubyn Watson, Sean Stubyn Watson, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1995. Sean had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2012 - September 25, 2012
PACIFIC FINANCIAL ASSOCIATES, INC.
February 2, 2000 - September 12, 2001
TIFFANY CAPITAL CORP.
October 29, 1998 - February 1, 2000
METROPOLITAN LIFE INSURANCE COMPANY
October 29, 1998 - February 1, 2000
MSI FINANCIAL SERVICES, INC.
October 17, 1997 - October 5, 1998
SUNPOINT SECURITIES, INC.
January 31, 1997 - October 27, 1997
MERIT CAPITAL ASSOCIATES, INC.
June 26, 1996 - December 20, 1996
ROUND HILL SECURITIES, INC.
January 30, 1996 - July 3, 1996
JOSEPH DILLON & COMPANY INC.
July 24, 1995 - January 30, 1996
INVESTORS ASSOCIATES, 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
Current Firm
PACIFIC FINANCIAL ASSOCIATES, INC.
CRD#: 23772 / SEC#: , 8-40712
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
