Donald R. Watson
Professional summary
Donald Ray Watson was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Donald Ray Watson was a registered financial advisor .
Donald is a previously registered financial advisor and started their career in finance in 1996. Donald had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2011 - November 29, 2012
NATIONAL PLANNING CORPORATION
July 25, 2011 - November 29, 2012
NATIONAL PLANNING CORPORATION
December 7, 2010 - August 1, 2011
J.P. TURNER & COMPANY, L.L.C.
November 19, 2010 - December 8, 2010
INDEPENDENT FINANCIAL GROUP, LLC
November 17, 2009 - December 2, 2010
INVESTORS CAPITAL CORP.
October 31, 2005 - November 18, 2009
OSAIC SERVICES, INC.
March 28, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
October 20, 2004 - March 30, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 30, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 12, 2004 - October 20, 2004
QUICK & REILLY, INC.
November 19, 2003 - October 20, 2004
QUICK & REILLY, INC.
March 7, 2003 - November 18, 2003
KEYBANC CAPITAL MARKETS INC.
September 4, 1998 - March 19, 2003
UBS FINANCIAL SERVICES INC.
July 1, 1996 - September 10, 1998
PRUDENTIAL EQUITY GROUP, LLC
January 3, 1996 - April 30, 1996
WADDELL & REED
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
