Tina M. Watta
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.
Tina Marie Watta, who also goes by Tina M Watta, was a registered financial professional .
Tina is a previously registered financial professional and started their career in finance in 1998. Tina had worked at 9 firms and has passed the Series 66, SIE 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 15, 2020 - December 7, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 3, 2017 - January 3, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 11, 2012 - September 21, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2012 - September 21, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 2010 - November 10, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
November 2, 2010 - November 10, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
September 3, 2010 - September 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
September 4, 2009 - September 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
August 5, 2008 - March 19, 2009
CENTAURUS FINANCIAL, INC.
July 6, 2005 - January 28, 2008
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - January 28, 2008
CHASE INVESTMENT SERVICES CORP.
April 6, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
April 5, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 14, 2004 - March 1, 2005
NATCITY INVESTMENTS, INC.
November 18, 2003 - June 16, 2004
UBS FINANCIAL SERVICES INC.
April 7, 1998 - May 13, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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.
